'.'.  >  t'i't 

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J 


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UNIVERSITY  OF  CALIFORNIA 
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PRINCIPLES  OF  ADMINISTRATION 

THE  INSTITUTE  FOR  GOVERNMENT  RESEARCH 

PRINCIPLES   OF   PUBLIC 
PERSONNEL  ADMINISTRATION 

BY 

ARTHUR  W.  PROCTER 


,  .  „  .  _. 


''^'I'^V^iw 


D.  APPLETON  AND  COMPANY 

NEW  YORK  LONDON 

1921 


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^5713 


Copyright,  1921,  by 
THE  INSTITUTE  FOR  GOVERNMENT  RESEARCH 


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\ 


Printed  in  the  United  States  of  America 


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THE  INSTITUTE  FOR  GOVERNMENT  RESEARCH 

Washington,  D.  C. 


The  Institute  for  Government  Research  is  an  association  of  citizens 
for  cooperating  with  public  officials  in  the  scientific  study  of  govern- 
ment with  a  view  to  promoting  efficiency  and  economy  in  its  operations 
and  advancing  the  science  of  administration.  It  aims  to  bring  into 
existence  such  information  and  materials  as  will  aid  in  the  formation 
of  public  opinion  and  will  assist  officials,  particularly  those  of  the 
national  government,  in  their  efforts  to  put  the  public  administration 
upon  a  more  efficient  basis. 

To  this  end,  it  seeks  by  the  thorough-going  study  and  examination 
of  the  best  administrative  practice,  public  and  private,  American  and 
foreign,  to  formulate  those  principles  which  lie  at  the  basis  of  all 
sound  administration,  and  to  determine  their  proper  adaptation  to  the 
specific  needs  of  our  public  administration. 

The  accomplishment  of  specific  reforms  the  Institute  recognizes  to 
be  the  task  of  those  who  are  charged  with  the  responsibility  of  legis- 
lation and  administration ;  but  it  seeks  to  assist,  by  scientific  study  and 
research,  in  laying  a  solid  foundation  of  information  and  experience 
upon  which  such  reforms  may  be  successfully  built. 

While  some  of  the  Institute's  studies  find  application  only  in  the 
form  of  practical  cooperation  with  the  administrative  officers  directly 
concerned,  many  are  of  interest  to  other  administrators  and  of  general 
educational  value.  The  results  of  such  studies  the  Institute  purposes 
to  publish  in  such  form  as  will  insure  for  them  the  widest  possible 
utilization. 


Robert  S. 


Brookings,"' 

Chairman 


Edwin  A.  Alderman 
Robert  S.  Brookings 
James  F.  Curtis 
R.  Fulton  Cutting 
Frederic  A.  Delano 
George  Eastman 
Raymond  B.  Fosdick 
Felix  Frankfurter 


Officers 
Frank  J.  Goodnow, 

Vice-Chairman 

James  F.  Curtis, 

Secretary 

Trustees 
Edwin  F.  Gay 
Frank  J.  Goodnow 
Jerome  D.  Greene 
Arthur  T.  Hadley 
Herbert  C.  Hoover'  ^ 
A.  Lawrence  Lowell 
Samuel  Mather 
Richard  B.  Mellon 

Director 
W.  F.  Willoughby 


Frederick  Strauss, 

Treasurer 


Charles  D.  Norton 
Martin  A.  Ryerson 
Frederick  Strauss 
Silas  H.  Strawn 
William  H.  Taft- 
Ray  Lyman  Wilbur' 
Robert  S.  Woodward 


,1      v/- 


\' 


J 


r^ 


PREFACE 


The  present  volume  is  the  reverse  of  a  pretentious  undertaking. 
n  It  has  as  its  sole  purpose  to  furnish  a  brief  introduction  to  the 
study  of  the  problem  that  confronts  all  governments  of  securing 
and  maintaining  an  efficient  personnel.  The  preparation  of  such 
a  study  was  thought  worth  while  due  to  the  extreme  complexity 
of  the  problem  and  the  wide  attention  that  is  now  being  paid  to 
the  subject. 

One  has  but  to  run  through  this  volume,  or  the  more  elaborate 

one  being  published  about  the  same  time,  by  the  Institute  for 

,    Government  Research,  giving  a  detailed  examination  of  the  per- 

pJ     sonnel  system  of  the  federal  government,  to  appreciate  the  large 

''     number  of  distinct  factors  entering  into  the  problem  of  an  efficient 

^     public  personnel  system,  all  of  which  must  be  properly  provided 

for  if  a  satisfactory  system  of  personnel  administration  is  to  be 

/^     secured.     These  factors,  moreover,  are  largely  of  a  technical  char- 

^^     acter.     They  involve,  not  merely  general  principles,  such  as  that 

£sJ    underlying  the  merit  system,  but  the  determination  of  the  character 

of  organization  and  procedure  that  shall  be  employed  in  putting 

-  j'    these  principles  into  execution,  the  nature  of  the  tests  that  shall 

Ji     be  made  use  of  in  selecting  new  employees,  the  manner  in  which 

^     employees  shall  be  classified  for  the  purpose  of  fixing  their  com- 

iP     pensation,  controlling  their  opportunities  for  promotion,  etc.,  the 

means  to  be  employed  in  determining  the  relative  efficiency  of 

employees  engaged  in  the  same  or  collateral  lines  of  work,  the 

nature  of  the  personnel  records  to  be  maintained,  and  scores  of 

other  details.     These  are  all  questions  that  can  only  be  answered 

after  intensive  and  technical  studies  of  them  have  been  made. 

Finally,  there  is  raised  in  respect  to  almost  every  one  of  them 
the  important  question  of  the  extent  to  which  the  effort  should  be 
made  to  fix  conditions  by  statutory  enactments  or  to  leave  discre- 
tion in  respect  of  them  to  administrative  authorities,  and,  if  the 
latter  policy  is  adopted,  the  extent  to  which  this  discretion  shall 

vu 


vin 


PREFACE 


be  placed  in  the  hands  of  those  officers  who  are  in  direct  charge 
of  the  operating  services  or  shall  be  vested  in  a  general  personnel 
agency. 

Only  a  relatively  few  persons  can  be  expected  to  concern  them- 
selves with  the  technical  phases  of  this  problem.  There  are  many, 
however,  who  ought  to  have  a  fairly  comprehensive  grasp  of  the 
nature  and  scope  of  the  problem  as  a  whole.  Especially  is  this 
true  of  the  members  of  our  national,  state,  and  local  legislative 
bodies,  who  are  called  upon  to  consider  proposals  looking  to  a 
reorganization  of  the  personnel  system  of  the  governments  with 
which  they  are  connected,  and  the  superior  administrative  officers 
of  such  governments.  It  is  to  this  class  that  the  present  volume 
is  chiefly  addressed. 

The  author,  Mr.  Arthur  W.  Procter,  has  for  years  been  directly 
concerned,  as  a  member  of  the  staff  of  the  late  President's  Com- 
mission on  Economy  and  Efficiency,  the  New  York  Bureau  of 
Municipal  Research,  and  the  Institute  for  Government  Research, 
with  the  study  of  problems  of  personnel  administration;  and,  in 
1915-1916  had  charge  of  the  investigation  work  of  the  important 
inquiry  regarding  the  standardization  of  public  employments  of 
the  state  made  by  the  Senate  Committee  on  Civil  Service  of 
New  York  State.  In  one  or  the  other  of  these  capacities  he  made 
a  personal  study  of  the  personnel  systems  of  those  states  and 
cities  that  had  made  the  most  progress  in  recent  years  in  the 
improvement  of  their  systems  for  the  handling  of  personnel 
matters.  It  is  not  to  be  expected  that  the  positions  taken  by  the 
author  will  in  all  cases  be  accepted.  They  represent,  however, 
the  conclusions  that  have  been  reached  by  one  who  has  had 
exceptional  opportunities  for  the  prosecution  of  studies  in  this 
field,  and  will  at  least  be  suggestive  and  serve  to  open  up  the 
subject  in  a  broad  way. 

The  author  writes  to  acknowledge  his  indebtedness  to  Mr.  D. 
W.  Fisher  of  the  University  of  Minnesota,  who  gave  very  valu- 
able assistance  in  the  preparation  and  editing  of  the  manuscript 
of  this  volume. 

W.    F.   WiLLOUGHBY 


CONTENTS 

CHAPTER  PAGE 

I.   History  of  Public  Employment i 

Early    Conditions 2 

The  "Spoils  System" 2 

Recent    Conditions .  4 

II.  A  Public  Employment  Program 9 

The  Need  of  a  Constructive  Program 9* 

Extension  of  the  Merit  System 13 

Establishment  of  Adequate  and  Uniform  Compensation      .  17 

Establishment  of  a  Retirement  System 19 

Multiplying  Opportunities  for  Promotion  i    -''.       .       .       .  20 

Extension  of  the  Functions  of  the  Civil  Service  Commission  22 

Creation  of  Esteem  for  the  Public  Service       ....  25 

III.    The  Civil  Service  Commission 27 

Legal  Status  of  a  Civil  Service  Commission  .       ...  27 

Selection  of  a  Civil  Service  Commission 27 

Quasi-legislative  Functions 31 

Quasi- judicial  Functions 34 

Executive  Functions 36 

Organization  of  a  Civil  Service  Commission    ....  38 


-r^ 


IV.     Standardization   of  Public  Employment 41 

Purpose  of  Standardization 41 

Adoption  of  Standardization 47 

Principal  Features  of  a  Standardization  Program  ...  48 

Current  Revision  of  Standards 62 

Enforcement  of  Standards 63 

V.   The  Conduct  of  a  Standardization  Inquiry     ....  65 

Need  for  Special  Staff 65 

Ex-officio  Staff  Assistance  and  Leadership  Inadequate  .       • .  67 

Legal  Status  of  Administrative  Agency 67 

Cooperation  of  All  Factors  Essential     .  ....  68 

Facilities  Afforded  by  the   Executive   Departments      .       .  70 

Facilities  Afforded  by  Civil  Service  Commission  ...  72 

ix 


X  CONTENTS 

CHAPTER  PAGE 

Facilities  Afforded  by  Local  Citizen  Research  Agencies      .  73 

Facilities  Afforded  by  Private  Employers 73 

Facilities  Afforded  by  Other  Governments  and  Outside  Re- 
search Agencies 74 

Special  Citizen  Advisory  Groups 74 

Collection  of  Data  as  to  Existing  Employment  Conditions  .  74 

Independent  Verification  of  Records  by  Staff  Examiners     .  83 

Summary  Observations  as  to  Irregularities       ....  85 

Use  of  Studies  of  Organization 85 

Inquiry  into  Standards  of  Civil  Service  Examinations  .       .  89 

Standards  of  Examinations  and  Conditions  Governing  Pro- 
motion   90 

Formulation  of  the  Classification 90 

The  Division  into  Classes  or  Grades 93 

The  Wisconsin  Method  of  Grading  Clinical  Positions  .       .  94 

Tabulation  and  Classification  of  Primary  Work  Elements  .  95 

Use  of  Classification  Chart 99 

Qinical  Classification  of  the  Congressional  Commission     .  100 

Revision  of   Specifications 105 

Review  of  Specifications 105 

Determining  Standards   of  Compensation         .       .       .       .105 

Appraisal  of  Employments  on  the  Basis  of  Standard  Speci- 
fications        107 

Tentative  Appraisals  by  Staff  Examiners 108 

"^•^      Investigation  of  Positions  Appraised  Out  of  Grade       .       .110 

Review  of  Appraisals no 

VI.   Recruiting  and  Selection in 

-_-'-        Examination  as  the  Basis  of  Selection in 

The  Examining  Agency 113 

Factors  of  Civil  Service  Examinations 115 

The  Written  Examination 121 

The  Practical  Examination 133 

The  Rating  of  Experience 135 

The  Rating  of  Education 139 

The  Physical  Examination 139 

The  Oral  Examination 141 

Advertising  Civil  Service  Examinations 146 

Certification  and  Appointment 148 

VII.   Training 151 

Training  for  Entrance  to  Public  Employment  .       .       .       .151 

Training  for  Increased  Usefulness  in  Public  Employment  .  ISS 


CONTENTS  xi 

CHAPTER  PAGE 

VIII.   Rating  and  Control  of  Individual  Efficiency  ....  162 

The  Problem  of  Efficiency  Ratings 162 

The  Rating  System 164 

The  Rating  Organization 168 

Preparation  of  Ratings 169 

Inspection  of  Ratings  by  Employees 170 

The  Use  of  Efficiency  Ratings 171 

IX,   Advancement  and  Promotion 173 

The  Problem  of  Promotion '"'. 173 

The  Distinction  between  Advancement  and  Promotion  .       .  177 

Provision  for  Advancement 178 

Administration  of  Advancement 178 

Provision  for  Promotion  .  u^-r      ........  180 

Administration  of  Promotion  .  i-^ i8s 

X.   Employees'  Representation 189 


APPENDICES 

1.  Civil  Service  Commissions  in  the  United  States  Classi- 

fied According  to  Legal  Conditions  of  Control  .       .     195 

2.  Standard   Civil   Service   Laws    for   States   and   Cities 

Drafted  by  National  Civil  Service  Reform  League  .    201 

3.  Bibliographic   Note 235 


PRINCIPLES   OF  PUBLIC 
PERSONNEL  ADMINISTRATION 

CHAPTER  I 
HISTORY  OF  PUBLIC  EMPLOYMENT 

The  problem  of  employment  as  it  relates  to  private 
enterprise  has  of  late  years  been  given  a  great  deal  of 
attention.  The  corresponding  problem,  as  it  relates  to 
the  selection,  retention,  and  development  of  workers  in 
the  service  of  our  various  governments,  has  received 
comparatively  little  attention.  Yet  the  national  govern- 
ment is  the  largest  single  employer  in  the  country;  and 
all  of  our  governments  taken  together  carry  on  their 
payrolls  approximately  2,000,000  employees.  In  view 
of  the  number  of  persons  directly  concerned,  and  in  view 
of  the  well  known  fact  that  conditions  in  the  service 
of  our  various  governments  are  far  from  being  satis- 
factory, the  problem  of  public  employment  is  worthy  of 
serious  and  constructive  consideration. 

In  the  following  pages  this  problem  is  considered, 
existing  conditions  are  briefly  described,  and  remedial 
measures  proposed.  The  discussion  is  limited  to  em- 
ployment as  it  is  carried  on,  or  should  be  carried  on,  by 
civil  service  commissions  in  the  national  government 
and  in  the  various  state,  city,  and  other  local  govern- 
ments. As  an  introduction  to  the  study  of  this  problem, 
the  several  phases  of  the  history  of  public  employment 


PUBLIC  PERSONNEL  ADMINISTRATION 

in  this  country  since  the  founding  of  the  national  gov- 
ernment are  presented  in  summary  form. 
Early  Conditions.  The  first  period  extended  from 
1789  to  1829,  the  year  which  marked  the  end  of  the 
administration  of  John  Quincy  Adams.  It  was  a  period 
in  which  public  employees  were  selected  and  retained 
without  regard  to  any  formal  method,  but  on  the  whole 
with  wisdom  and  fairness. 

During  this  time  public  employment  presented  a 
comparatively  simple  problem.  In  1800  the  total  num- 
ber of  civilian  employees  in  the  national  service  did  not 
exceed  3,000.  The  selection  of  men  for  the  more  im- 
portant positions  was  handled  directly  by  the  President 
or  the  members  of  his  Cabinet  in  accordance  with  a 
strong  sense  of  responsibility  to  the  electorate  of  the 
country.  No  restrictions,  such  as  exist  to-day,  had  been 
imposed  on  the  power  of  appointment  and  removal,  but 
competent  men  were  generally  chosen  for  public  office 
and  employment,  and  they  were  generally  retained  in  the 
public  service  as  long  as  they  performed  their  duties 
honestly  and  effectively. 

The  conditions  in  the  national  service  were  some- 
what better  than  those  that  existed  in  the  various  state 
and  municipal  governments.  As  early  as  1801  the  con- 
ception of  appointment  to  public  office  as  an  incident  of 
party  victory  had  been  introduced  into  the  administra- 
tion of  the  government  of  New  York  State. 
The  "Spoils  System."  The  second  period  of  public 
employment,  which  extended  from  1829  to  1883,  was 
dominated  by  the  principles  and  practices  known  as  the 
"spoils  system."  The  foundation  of  this  system  had 
been  laid  in  1820  in  the  "Tenure  of  Office  Act,"  which 
provided  that  "district  attorneys,  collectors  of  the  cus- 
toms, navy  agents,  receivers  of  public  moneys  for  lands, 
/  2 


HISTORY  OF  PUBLIC  EMPLOYMENT 

registers  of  the  land  office,  paymasters  in  the  army,  the 
apothecary-general,  assistant  apothecaries-general,  and 
the  commissary-general  of  purchases"  shall  be  "remov- 
able from  office  at  pleasure."  When  President  Jackson 
came  into  office  in  1829  he  availed  himself  fully  of  the 
powers  conferred  under  this  act,  and  proceeded  to  es- 
tablish firmly  the  system  of  spoliation.  The  underlying 
idea  of  this  system  was  expressed  in  the  slogan:  "To 
the  victor  belong  the  spoils."  In  the  course  of  eight 
years  Jackson  removed  from  office  more  men  than  had 
been  removed  in  the  40  years  preceding  his  administra- 
tion, and  he  filled  the  vacancies  thus  created,  as  well  as 
other  vacancies  which  occurred  in  the  civil  service,  by 
appointing  his  partisan  supporters.  The  acquiescence 
of  the  people  in  the  spoils  system,  as  Bryce  has  pointed 
out,  was  explained  in  part  by  the  fact  "that  the  admin- 
istration used  to  be  conducted  in  a  happy-go-lucky  way, 
that  the  citizens,  accustomed  to  helping  themselves,  re- 
lied very  little  on  their  functionaries,  and  did  not  care 
whether  they  were  skillful  or  not,  and  that  it  was  so 
easy  and  common  for  a  man  who  fell  out  of  one  kind 
of  business  to  take  up  and  make  his  living  by  another, 
that  deprivation  seemed  to  involve  little  hardship."  ^ 

Under  the  successors  of  Jackson  the  spoils  system 
continued  to  flourish.  It  dominated  the  selection  of  pub- 
lic employees  and  exercised  a  potent  influence  over  the 
whole  of  American  political  life.  In  1846  Calhoun  de- 
clared in  the  Senate:  "The  presidential  election  is  no 
longer  a  struggle  for  great  principles,  but  only  a  struggle 
as  to  who  shall  have  the  spoils  of  office."  Both  parties 
accepted  and  acted  upon  this  principle.  Victory  at  the 
polls  was  considered  authorization  to  turn  out  of  office 
all  incumbents  who  had  been  appointed  by  the  opposition. 
'  American  Commonwealth,  1910  ed.,  vol.  ii,  p.  140. 

3 


PUBLIC  PERSONNEL  ADMINISTRATION 

Offices  and  jobs  in  the  civil  service  were  regarded  as 
patronage,  to  be  used  in  building  up  and  strengthening 
the  party  machine.  Men  were  chosen  for  public  office 
or  employment  primarily  with  regard  to  their  usefulness 
to  the  party  organization,  and  only  incidentally  with 
regard  to  their  competence  to  carry  on  the  business  of 
the  government. 

Throughout  this  period  vigorous  protests  were  made 
from  time  to  time  against  the  system,  but  they  produced 
no  substantial  results  until  the  last  two  decades  of  the 
nineteenth  century. 

During  this  period  the  same  system  dominated  the 
various  state  and  municipal  services.  Public  employ- 
ment was  conducted  very  largely  in  the  interest  of  the 
party  organization  rather  than  in  the  interest  of  the 
people  as  a  whole  or  of  the  great  body  of  public  em- 
ployees. 

Recent  Conditions.  The  third  period  extends  from 
1883  to  the  present.  During  this  period  the  more 
flagrant  abuses  of  the  spoils  system  have  been  mitigated, 
and  considerable  progress  in  the  administration  of 
public  employment  has  been  achieved. 

The  national  government,  as  well  as  the  various  state 
and  municipal  governments,  had  grown  greatly  in  size 
and  complexity.  The  number  of  national  employees 
had  increased  to  about  100,000  in  1880,  and  the  ordinary 
revenues  had  increased  from  $10,000,000  in  1800  to 
$333jOOO,ooo  in  1880.  Considered  by  itself  the  efficient 
administration  of  the  growing  and  intricate  functions 
of  government  made  imperative  the  introduction  of  a 
definite  and  business-like  system,  designed  to  regulate 
the  selection  and  retention  of  public  employees. 

But  there  was  another  factor.  The  people  had  begun 
to  realize  that  the  spoils  system  was  a  grave  danger  to 

4 


HISTORY  OF  PUBLIC  EMPLOYMENT 

the  integrity  of  the  political  life  of  the  country.  A 
publication  issued  in  1882  by  the  National  Civil  Service 
Reform  Association  stated:  "The  country  can  be  ex- 
travagant and  spend  a  third  more  than  is  really  neces- 
sary for  transacting  its  business  without  serious  danger, 
although  a  wise  nation  would  not  tolerate  such  waste. 
But  it  cannot  maintain,  without  great  and  constant 
peril,  a  'system  which  converts  the  enormous  and 
extravagant  expenditure  for  public  salaries  into  a 
political  bribery  held  at  the  disposition  of  a  few  men 
in  every  state."  The  people  finally  revolted  against 
the  spoils  system,  not  primarily  because  it  was  wasteful 
and  inefficient,  but  because  it  represented  a  grave  danger 
to  the  free  expression  of  the  popular  will  through 
elections. 

The  movement  for  civil  service  reform  resulted  in 
the  passage  of  the  national  Civil  Service  Act  in  1883. 
This  was  a  substantial,  though  not  a  complete,  victory 
for  the  merit  principle.  The  law  provided  for  a  national 
Civil  Service  Commission  and  it  placed  under  the 
jurisdiction  of  that  commission  all  the  positions  of  the 
so-called  classified  service.  It  also  provided  that  ap- 
pointment to  the  classified  service  should  be  made,  (so 
far  as  practicable,  on  the  basis  of  open  competitive 
examination  and  that  national  employees  should  be  free 
from  the  necessity — which  had  prevailed  up  to  that 
time — of  contributing  to  campaign  funds  and  of  render- 
ing political  services. 

Following  the  passage  of  this  act  the  reform  move- 
ment achieved  important  successes  in  variou's  state  and 
municipal  governments.  A  civil  service  commission, 
with  powers  similar  to  those  of  the  national  commission, 
was  established  in  New  York  State  in  1883.  Similar 
commissions  have  been  established  in  Illinois,   Ohio, 

5 


PUBLIC  PERSONNEL  ADMINISTRATION 

Massachusetts,  New  Jersey,  California,  Wisconsin, 
Kansas,  Connecticut,  Colorado,  and  Maryland.  Civil 
service  commissions  have  also  been  established  in  about 
250  municipal  governments.  Among-  the  larger  cities 
in  which  public  employment  is  administered  by  civil 
service  commissions  are  New  York,  Chicago,  San  Fran- 
cisco, Philadelphia,  Cleveland,  Pittsburgh,  Detroit, 
Buffalo,  Milwaukee,  Cincinnati,  New  Orleans,  Los 
Angeles,  Minneapolis,  Seattle,  Rochester,  St.  Paul, 
Denver,  Portland  (Ore.),  Syracuse,  and  Albany.  Some 
counties,  notably  Los  Angeles  County,  Cal.,  Cook 
County,  111.,  and  Milwaukee  County,  Wis.,  have  also 
established  civil  service  commissions. 

In  some  of  the  local  jurisdictions  named  above,  the 
administration  of  public  employment  is  handled  to-day 
more  strictly  in  accordance  with  the  merit  principle  and 
more  effectively  than  in  the  national  government. 

The  movement  for  civil  service  reform,  however, 
has  not  received  recognition  in  all  state  and  municipal 
jurisdictions.  It  has  been  extended  to  less  than  one- 
fourth  of  the  jstate  governments,  and  it  has  not  been 
adopted  in  some  of  the  larger  cities.  Furthermore,  even 
in  jurisdictions  in  which  the  merit  system  is  nominally 
in  force,  it  is  not  applied  in  selecting  the  incumbents 
of  all  civil  service  positions.  In  the  national  service  many 
positions  are  still  "unclassified,"  or,  if  classified,  they 
are  filled  without  regard  to  examination  requirements. 
In  the  state  and  city  services  a  similar  condition  is 
found.  The  reform  movement  has  not  completely 
substituted  the  merit  system  for  the  spoils  system.  It 
has  not  entirely  attained  its  objective. 

And  the  original  civil  service  reform  movement  set 
for  itself  an  essentially  incomplete  objective.  It  was 
interested  chiefly  in  the  reform  of  the  political  conditions 

6 


HISTORY  OF  PUBLIC  EMPLOYMENT 

which  surround  pubhc  employment.  It  aimed  to  impose 
definite  checks  and  restrictions  on  administrative  au- 
thority over  appointment  and  removal.  In  imposing 
such  restrictions,  this  movement  has  accomplished  re- 
sults which  are  a  necessary  preliminary  to  a  sound 
administration  of  public  employment,  but  it  has  failed 
in  large  part  to  supplement  its  negative  program  with 
a  strong  positive  program.  It  has  not  been  interested 
to  any  marked  extent  in  the  improvement  of  the  internal 
conditions  of  the  public  service  as  they  affect  the  welfare 
of  the  individual  employee  or  the  development  of  a 
competent  and  efficient  civil  service  personnel.  Nor  has 
it  responded  to  the  complex  and  growing  requirements 
of  the  public  service  by  formulating  an  adequately 
positive  and  constructive  employment  program. 

A  modern  system  of  public  employment  presents  a 
problem  of  great  complexity.  The  national  service 
includes  approximately  745,000  employees,  representing 
an  annual  expenditure  of  $700,000,000  or  about  40  per 
cent  of  the  operative  cost  of  government.  These  em- 
ployees are  engaged  in  several  thousand  distinct  classes 
of  employment;  in  various  clerical  services,  inspectional, 
customs  and  revenue  services,  skilled  and  unskilled  labor 
services,  and  scientific  and  professional  services.  Apart 
from  the  work  which  is  peculiar  to  the  needs  of  the 
government,  they  are  engaged  in  practically  every  kind 
of  activity  found  in  modern  enterprise. 

The  states  and  larger  cities  present  a'  similarly 
complex  employment  problem.  A  representative  state 
or  city  government  is  a  great  enterprise,  carrying  on 
its  payroll  thousands  of  workers  engaged  in  a  great 
variety  of  occupations.  New  York  State  has,  in  its 
civil  service,  approximately  22,000  employees;  Pennsyl- 
vania,   approximately    15,000;    and    Illinois,    approxi- 

7 


PUBLIC  PERSONNEL  ADMINISTRATION 

mately  7,000.  The  City  of  New  York,  including  the 
teaching  personnel,  has  about  100,000  public  employees,^ 
representing  an  annual  payroll  of  approximately  $130,- 
000,000. 

In  response  to  the  complex  problem  presented  in  a 
modern  system  of  public  employment,  the  so-called 
"standardization"  movement  came  into  existence  in  the 
first  decade  of  this  century.  This  movement  is  essen- 
tially a  response  to  the  demand  for  a  business-like  and 
efficient  administration  of  our  national,  state,  and  city 
governments.  It  is,  in  a  sense,  an  outgrowth  of  the 
earlier  civil  service  reform  movement,  but  it  places  a 
new  and  positive  emphasis  on  the  need  of  discovering 
concrete  ways  and  means  of  improving  the  internal 
conditions  of  public  employment.  It  has  laid  particular 
stress  on  the  establishment  of  scientific  classification 
of  public  employments,  and  on  the  establishment  of 
adequate  and  uniform  rates  of  compensation.  This 
movement  has  accomplished  results  of  considerable 
value  in  New  York  State,  Massachusetts,  New  Jersey, 
Illinois,  Ohio,  and  Wisconsin,  and  in  New  York  City, 
Chicago,  Philadelphia,  Cleveland,  Rochester,  Denver, 
and  other  jurisdictions ;  and  it  gives  promise  of  valuable 
results  in  the  national  government.  It  has  only  a 
limited  record  of  actual  achievement  to  its  credit  to 
date,  but  it  contains  the  promise  of  future  constructive 
achievement  of  great  significance. 

2  The  number  of  employees  under  the  jurisdiction  of  the  New 
York  Municipal  Civil  Service  Commission  is  about  53,000. 


CHAPTER  II 

A  PUBLIC  EMPLOYMENT  PROGRAM 

The  Need  of  a  Constructive  Program.  The  present 
state  of  public  employment  in  the  national  government, 
and  in  the  various  state  and  local  governments,  is 
unsatisfactory  to  the  public  at  large,  to  public  employees, 
and  to  responsible  administrative  officers.  The  public 
has  suffered  from  impaired  and  ineffective  service. 
Public  employees  have  suffered  from  inadequate  rates 
of  pay  and  other  unsatisfactory  conditions  of  public 
employment.  Administrative  officers  have  found  it 
difficult  to  recruit  and  retain  a  competent  government 
personnel.  This  has  been  especially  marked  in  the 
postal  service  and  in  the  teaching  service  of  our  local 
governments. 

A  commission  appointed  by  Congress  in  March, 
19 1 9,  has  recently  issued  an  instructive  report  on 
conditions  in  the  service  at  Washington.  This  report 
contains  the  following  statement:^ 

The  Commission  finds  that  there  is  serious  discontent,  ac- 
companied by  an  excessive  turnover  and  loss,  among  the  best 
trained  and  most  efficient  employees ;  that  the  morale  of  the 
personnel  has  been  impaired ;  that  the  national  service  has  be- 
come unattractive,  to  a  desirable  type  of  technical  employee; 
and  that  the  Government  has  put  itself  in  the  position  of  wast- 
ing funds  on  the  one  hand  and  doing  serious  injustice  to  in- 
dividuals on  the  other.  .  .  . 

^  Report  of  the  Congressional  Joint  Commission  on  Reclassification 
of  Salaries,  1920,  part  I,  p.  54.  This  document  will  be  referred  to 
hereafter  as  the  Report  of  the  Congressional  Joint  Commission. 

9 


PUBLIC  PERSONNEL  ADMINISTRATION 

The  so-called  labor  or  personnel  turnover  is  now 
generally  regarded  as  an  index  to  the  state  of  mind 
prevailing  among  the  employees  of  any  establishment; 
a  large  turnover  being  indicative  of  unrest  and  general 
demoralization.  In  general  terms,  the  annual  turnover 
may  be  computed  by  dividing  the  number  of  separations 
from  the  establishment  in  question  by  the  average 
number  of  employees  carried  on  the  payroll.  The  report 
of  the  Congressional  Joint  Commission  brings  out  the 
fact  that  the  turnover  in  the  service  at  Washington  was 
5.5  per  cent  during  the  year  1914;  that  it  rose  to  11 
per  cent  during  1916;  that  it  reached  a  maximum  of  40 
per  cent  during  1919;  and  that  it  receded  to  33  per  cent 
during  the  first  half  of  the  fiscal  year  1919-1920.  A 
personnel  turnover  of  33  per  cent — figured,  as  it  is  in  this 
case,  without  taking  account  of  the  separations  due  to  re- 
ductions in  force — is  abnormally  high,  and  is  indicative 
of  a  serious  state  of  unrest  and  impaired  efficiency.  This 
report  declares:^ 

The  most  conspicuous  advances  in  the  rate  of  turnover 
have  been  among  scientific-technical  employees.  In  six  bureaus 
for  which  complete  information  is  available  and  comprising  a 
total  of  2,765  employees,  the  turnover  among  scientific-tech- 
nical employees  has  advanced  from  12  per  cent  in  1916  to  69 
per  cent  in  1919.  The  increase  in  the  rate  of  turnover  of 
clerks  in  the  same  bureaus  and  comprehending  approximately 
the  same  numbers,  was  from  12  per  cent  in  191 6  to  29  per 
cent  in  19 19.  In  other  words,  the  rate  among  scientific  em- 
ployees advanced  over  three  times  as  f^st  as  among  clerical 
employees.  In  some  bureaus  the  conditions  are  even  more 
striking.  In  the  Bureau  of  Standards,  for  example,  the  rate 
of  increase  among  scientific  employees  has  jumped  from  28 
per  cent  in  1916  to  161  per  cent  in  1919. 

The   high   rate  of   turnover   among  scientific   and 

technical  employees  becomes  especially  significant  when 

^  Ibid.,  p.  55. 

10 


A  PUBLIC  EMPLOYMENT  PROGRAM 

consideration  is  had  of  the  fact  that  these  employees 
constitute,  in  large  measure,  the  directing  force  of  the 
government. 

Similar  conditions  of  excessive  turnover  and  im- 
paired morale  and  efficiency  exist,  in  only  a  slightly 
less  degree,  in  the  various  state  and  municipal  govern- 
ments. 

Ultimately  the  people  themselves  must  take  the 
initiative  in  bringing  about  any  marked  improvement 
of  government  employment.  A  government  occupies  a 
unique  position.  It  is  not  in  the  position  of  a  private 
commercial  enterprise.  It  is  not  required  to  make  a 
profit  in  competition  with  other  similar  enterprises.  It 
may  be  extravagant  and  inefficient  without  going  into 
bankruptcy.  It  is  not  required  automatically,  by  the 
forces  of  competition,  to  be  economical  and  efficient. 
A  government  must  indeed  compete  in  the  "labor  mar- 
ket" for  some  of  the  services  which  it  requires,  but  it  is 
not  compelled  by  the  forces  of  competition  to  recruit  and 
maintain  an  efficient  personnel.  Moreover,  it  is  not  re- 
quired to  pay  a  liberal  or  even  an  adequate  wage  to  its 
personnel,  because  many  groups  of  public  employees  can 
find  no  immediate  outlet  for  their  highly  specialized 
training  in  outside  employment.  A  government  oper- 
ates, in  many  respects,  outside  the  sphere  of  ordinary 
economic  forces.  Only  the  people  themselves  can  com- 
pel a  government,  on  the  one  hand,  to  maintain  an  ef- 
ficient personnel,  and,  on  the  other,  to  pay  its  personnel 
a  fair  and  adequate  wage. 

There  is  every  indication  that  the  people  are  now  in 
a  mood  to  demand  economy  and  efficiency  in  public 
employment  as  in  other  matters  of  government.  The 
high  taxes  following  the  war  have  made  economy  im- 
perative.    The   achievements   during  the   war   period 

II 


PUBLIC  PERSONNEL  ADMINISTRATION 

have  raised  somewhat  our  standards  of  efficiency.  At 
the  same  time,  there  is  a  growing  recognition  of  the  fact 
that  efficient  performance  on  the  part  of  pubHc  em- 
ployees must  be  rewarded  by  equitable  terms  and 
conditions  of  employment. 

The  problem  of  public  employment  is  closely  con- 
nected with  other  problems  of  government.  To  main- 
tain a  truly  efficient  government  personnel  it  is  necessary 
to  devise  and  maintain  efficient  government  machinery. 
Commenting  on  the  national  government,  Franklin  D. 
Roosevelt,  former  Assistant  Secretary  of  the  Navy, 
recently  said: 

There  exists  an  overlapping  and  duplication  of  administra- 
tive work  in  the  different  departments.  New  activities  have 
grown  up  in  or  been  assigned  to  departments  with  little  regard 
to  good  business  methods.  A  large  part  of  this  work  should 
be  reassigned,  and  much  of  it  now  scattered  between  different 
departments  should  be  consolidated  in  one.  According  to  data 
recently  collected,  25  federal  agencies  do  mapping  work,  30 
make  chemical  investigations,  2."]  have  authority  to  build 
hydraulic  works,  22  to  make  engineering  researches,  etc. 

The  Congressional  Joint  Commission  observed  a 
number  of  opportunities  for  the  improvement  of  gov- 
ernment machinery.     It  found :  ^ 

Complex,  indefinite,  poorly  designed  organization;  inade- 
quate provisions  for  administrative  control  and  supervision; 
apparent  duplication  between  departments  and  within  depart- 
ments; conflict  of  authority  and  overlapping  of  functions ;  over- 
manning :  unstandardized  procedure ;  unnecessary  records ;  and 
other  unbusiness-like  methods. 

The    result    of    the    unbusiness-like    methods    that 
obtain  in  the  national  government  has  also  been  strik- 
ingly   characterized    by    Franklin    K.    Lane,    former 
Secretary  of  the  Interior : 
^  Ibid.j  p.  no. 

12  ! 


A  PUBLIC  EMPLOYMENT  PROGRAM 

Every  one  seems  to  be  afraid  of  every  one.  The  self-pro- 
tective sense  is  developed  abnormally,  the  creative  sense 
atrophies.  Trust,  confidence,  enthusiasm — these  simple  virtues 
of  all  great  business — are  the  ones  most  lacking  in  govern- 
ment organization.  We  have  so  many  checks  and  brakes  upon 
our  work  that  our  progress  does  not  keep  pace  with  the  nation's 
requirements. 

The  lack  of  organization  obtains  particularly  in  the 
national  government.  In  some  of  the  state  and  city 
governments,  the  situation  is  not  so  backv^ard.  On  the 
whole,  however,  the  organization  of  governmental 
machinery  in  this  country  lags  considerably  behind 
accomplishments  in  the  field  of  business  and  industry, 
and  well  behind  what  could  be  accomplished  by  the 
application  of  good  will  and  intelligence  in  the  field  of 
government. 

The  improvement  of  government  personnel  cannot 
make  headway  apart  from  the  improvement  of  gov- 
ernmental machinery.  It  must  be  accompanied  by  the 
consolidation  of  services,  the  elimination  of  unnecessary 
positions,  direct  and  effective  methods  of  doing  work 
and  of  transacting  business,  a  budget  system  as  the  basis 
of  all  appropriations,  and  competent  and  inspiring 
leadership. 

But  the  improvement  of  government  personnel 
constitutes  to  a  certain  extent  a  separate  and  peculiar 
problem.  It  requires  for  its  accomplishment  the  adop- 
tion of  specific  measures  of  employment  policy  and 
administration.  Consideration  will  now  be  given  to 
some  of  the  more  important  measures  that  may  be 
expected  to  lead  to  an  improvement  of  the  present  state 
of  public  employment. 

Extension  of  the  Merit  System.  It  is  a  basic  require- 
ment of  progress  in  public  employment  that  the  merit 
system  should  be  extended.     The  merit  system  is  the 

13 


PUBLIC  PERSONNEL  ADMINISTRATION 

underlying"  idea  of  civil  service  legislation.  It  aims  to 
eliminate  personal  favoritism  and  political  preference, 
and  to  establish  impartiality  in  the  conduct  of  public 
employment.  It  accomplishes  this  end,  in  the  main,  by 
throwing-  safeguards  around  the  appointment,  promo- 
tion, and  removal  of  public  employees.  It  requires  that 
appointment  and  promotion  shall  be  made  on  the  basis 
of  examination,  usually  a  competitive  examination, 
though  in  some  circumstances  a  qualifying  or  non- 
competitive examination.  It  also  requires  that  removal 
shall  be  made  only  for  bona  fide  reasons,  and  after  the 
employee  shall  have  been  given  a  fair  hearing.  The 
merit  system  thus  insures  the  use  of  fair  and  effective 
methods  in  the  selection  and  subsequent  promotion  of 
public  employees,  and  it  affords  to  public  employees 
reasonable  security  of  tenure. 

The  merit  system,  as  has  been  indicated,  wa's  intro- 
duced in  this  country  in  1883.  It  is  a  necessary  means 
of  combating  the  waste,  inefficiency,  and  political 
corruption  which  attend  the  uncurbed  operation  of  the 
spoils  system.  It  does  not  afford  a  solution,  however, 
of  all  the  problems  that  arise  in  the  administration  of 
government  employment,  but  rather  clears  the  ground 
of  the  grosser  political  obstructions  that  stand  in  the 
way  of  a  proper  solution  of  these  problems. 

This  system,  which  is  nominally  in  force  in  the 
national  government  and  in  a  number  of  state  and 
municipal  governments,  should  be  extended  and  applied 
in  a  thorough-going  manner. 

In  discussing  the  feasibility  of  a  thorough  applica- 
tion of  the  merit  system  to  all,  or  practically  all,  of  the 
positions  in  the  executive  branch  of  a  government,  a 
distinction  is  commonly  drawn  between  political  and 
non-political  positions.     Political  positions  are  commonly 

14  I 


A  PUBLIC  EMPLOYMENT  PROGRAM       , 

defined  as  policy-determining.  In  the  executive  branch 
of  the  national  government  they  include  the  Presidency, 
the  Cabinet  offices,  the  headships  of  the  bureaus,  etc. 
In  the  state  governments,  they  include  the  governorship, 
the  headships  of  the  principal  departments,  etc.  Non- 
political  positions  are  defined  as  those  which  do  not 
involve  policy-making.  These  positions  include  the 
great  bulk  of  employments  in  the  executive  branch  of 
the  national,  state,  and  municipal  governments.  They 
involve  the  duty  of  executing  the  policy  or  carrying  out 
the  work  which  has  been  decided  upon  by  the  responsible 
administrative  heads  of  the  government. 

The  merit  system,  as  a  method  of  selection,  is  not 
applicable  to  positions  of  a  truly  policy-determining 
character.  The  incumbents  of  these  positions  should 
be,  above  all  things,  responsive  to  the  will  of  the  people. 
Some  of  these  officers  are,  and  should  be,  chosen  by 
election.  Some  of  them,  who  are  called  upon  to  inter- 
pret or  aid  in  determining  fundamental  matters  of 
policy  are,  and  well  may  be,  chosen  by  executive  appoint- 
ment. These  officers  cannot  well  be  selected  according 
to  the  merit  system,  on  the  basis  of  their  standing  in 
an  examination. 

But  the  merit  system  is  applicable  to  a  great  many 
more  positions  in  the  executive  branch  of  our  national, 
state,  and  municipal  governments  than  it  has  ever  been 
applied  to.  It  should  be  applied  to  many  of  the  positions 
that  are  commonly  held  to  be  political,  but  which,  in 
fact,  are  not  political  or  policy-determining  in  character. 
Uy  a  liberal  use  of  the  short  ballot,  a  number  of  these 
positions  should  be  eliminated  from  the  list  of  offices 
now  filled  by  election,  and  should  be  placed  under  civil 
service  regulations.  A  number  of  them  should  be 
eliminated  from  the  list  of  offices  now  filled  by  executive 

15 


PUBLIC  PERSONNEL  ADMINISTRATION 

appointment,  and  should  be  filled  according  to  the  ex- 
amination requirements  of  the  merit  system.  Moreover, 
the  merit  system  should  be  applied  to  all,  or  practically 
all,  of  those  public  employments  which  are  not,  and 
which  have  never  been  seriously  held  to  be,  policy- 
determining  in  character.  It  should  be  applied  to  the 
great  mass  of  government  positions  involving  clerical 
and  commercial  work,  manual  labor,  public  safety,  and 
scientific  and  professional  work. 

Two  lines  of  action  are  required  to  effect  a  thorough- 
going application  of  the  merit  principle  to  the  positions 
of  the  executive  branch  of  a  government. 

Action  must  be  taken  (in  the  case  of  the  national 
service  by  the  President,  and  in  the  case  of  state  and 
local  services  by  legislative  bodies)  placing  practically 
all  of  the  positions  of  the  executive  branch  of  the  gov- 
ernment in  question,  except  those  of  a  bona  fide  policy- 
determining  character,  in  the  so-called  "classified" 
service  and  under  the  jurisdiction  of  the  civil  service 
commission. 

Action  must  be  taken  by  civil  service  commissions 
that  will  insure  that  the  positions  placed  under  their 
jurisdiction  are  handled  according  to  the  letter  and 
spirit  of  the  merit  principle.  At  the  present  time  civil 
jservice  commissions  frequently  "exempt"  a  number  of 
positions  from  examination  requirements.  This  practice 
is  sometimes  justified  by  the  difficulty  of  holding  suitable 
examinations;  more  frequently  it  lacks  any  justification. 
Civil  service  commissions  should  limit  the  number  of 
"exempt"  positions  to  the  lowest  figure  possible.  They 
should  endeavor  to  devise  suitable  examinations  for 
entrance  and  promotion  to  all  positions  in  the  classified 
service;  and  they  should,  wherever  practicable,  throw 
these  examinations  open  to  competition. 

i6 


A  PUBLIC  EMPLOYMENT  PROGRAM 

Establishment  of  Adequate  and  Uniform  Compensation. 
The  rates  of  pay  offered  in  public  employment  at  the 
present  time  are  not,  generally  speaking,  proper  or 
satisfactory.  This  fact  is  reflected  in  the  difficulty 
which  administrative  officers  have  in  recruiting  suitable 
workers  for  the  public  service,  in  retaining  competent 
workers  who  have  acquired  valuable  training  through 
yearjs  of  experience,  in  properly  administering  advance- 
ment and  promotion,  and  generally  in  maintaining  the 
morale  and  efficiency  of  the  public  service. 

The  rates  of  compensation  offered  to  public  employees 
should  be  both  uniform  and  adequate.  "Equal  pay  for 
equal  work"  would  seem  to  be  an  obvious  principle  of 
fair  dealing  and  effective  management.  In  the  ordinary 
run  of  private  business,  this  principle  is  put  into  practice, 
but  not  in  public  employment.  In  government  service, 
what  is  substantially  the  same  kind  of  work  is  frequently 
rewarded  by  different  rates  of  pay  within  a  single  de- 
partment, and  by  different  and  widely  varying  rates 
of  pay  in  the  several  departments.  Thus,  a  "junior 
examiner"  in  the  Interior  Department  is  paid  at  the 
average  rate  of  $1,490,  while  the  compensation  attached 
to  essentially  similar  positions  in  the  Treasury  Depart- 
ment is  at  the  average  rate  of  $1,744.  In  state  and  city 
governments  glaring  inequalities  of  pay  for  similar 
work  have  existed,  and,  to  a  considerable  extent,  con- 
tinue to  exist.  Inequality  of  pay  for  isimilar  work  has 
been  a  chief  source  of  difficulty  in  public  employment 
in  this  country.  It  has  made  impossible  a  business-like 
administration  of  the  public  service;  and  it  has  had  a 
decidedly  destructive  effect  on  the  morale  and  working 
efficiency  of  the  public  employees  themselves. 

Rates  of  pay  should  be  not  only  uniform,  but  also 
fair  and   adequate.     Generally   speaking,   the  pay   of 

17 


PUBLIC  PERSONNEL  ADMINISTRATION 

public  employees  at  the  preisent  time  is  less  than  that 
offered  for  similar  work  in  the  field  of  private  industry 
and  business.  The  rates  of  pay  for  unskilled  labor,  and 
for  the  simpler  kinds  of  clerical  work,  are  perhaps  as 
high  as  those  which  obtain  for  similar  work  in  private 
employment.  On  the  whole,  however,  the  rates  of  pay 
in  public  employment  are  considerably  lower  than  those 
which  prevail  for  similar  work  in  private  employment, 
where  a  direct  comparison  is  possible,  and  they  are  often 
strikingly  inadequate  in  view  of  present  economic  con- 
ditions. This  situation  is  due  largely  to  the  tendency 
of  the  rates  of  pay  in  public  employment  to  remain 
stationary  over  long  periods  of  time.  In  the  26  years 
from  1893  to  19 1 9,  the  average  pay  of  national  em- 
ployees in  Washington  increased  by  about  40  per  cent. 
This  increase  is  readily  seen  to  be  inadequate  when  it  is 
compared  with  the  increase  in  the  retail  price  of  food 
during  the  same  period,  estimated  at  approximately  159 
per  cent. 

The  rates  of  pay  offered  public  employees  should 
be  increased.  Some  individual  employees  may  not 
deserve  an  increase.  Some  classes  of  employees  may 
not  deserve  as  large  an  increase  as  do  other  classes  of 
employees.  But  there  can  be  no  doubt  that  in  most 
systems  of  public  employment  the  rates  of  compensa- 
tion should  receive  a  general  upward  revision. 

Salaries  in  the  classified  service  of  our  national,  state, 
and  city  governments  range  from  about  $1,000  to  about 
$5,000  a  year,  with  very  few  at  or  near  the  latter  figure. 
The  range  of  salaries  should  be  extended,  by  offering 
better  rates  of  pay  for  work  in  the  higher  technical  and 
administrative  positions,  if  the  higher  positions  in  the 
public  service  are  to  be  made  attractive  to  men  of  suit- 
able training  and  ability. 

18 


A  PUBLIC  EMPLOYMENT  PROGRAM 

A  so-called  "standardization"  of  public  employment  is 
concerned  primarily  with  the  task  of  establishing  uni- 
form and  equitable  rates  of  compensation.  To  accom- 
plish this  task  it  is  necessary  to  analyze  thoroughly  the 
great  variety  of  work  done  in  a  system  of  public  employ- 
ment, and  to  group  this  work  in  fundamental  classes, 
each  one  of  which  is  made  the  subject  of  similar  treat- 
ment in  regard  to  pay  and  other  conditions  of  employ- 
ment.* 
Establishment  of  a  Retirement  System.     A  system  that 

provides  for  the  retirement  of  disabled  and  superannu- 
ated employees,  with  adequate  benefits  or  pensions,  is 
an  essential  part  of  any  constructive  program  of  public 
employment. 

Retirement  systems  are  generally  in  force  for  the 
teaching  personnel  of  local  governments.  They  are 
frequently  in  force  for  the  personnel  of  fire  and  police 
departments.  A  retirement  law,  applying  to  all  national 
service  employees,  was  passed  by  Congress  in  May, 
1920.  Mo.st  state  and  local  governments,  however,  have 
failed  to  make  adequate  provision  for  the  systematic 
retirement  of  employees. 

A  system  of  retirement  offers  obvious  advantages  to 
the  employees  concerned.  To  workers  already  in  the 
public  service,  the  retirement  benefit,  indeed,  represents 
a  kind  of  gratuity.  To  those  who  enter  the  service  after 
the  adoption  of  a  retirement  system,  the  benefit  repre- 
sents a  part  of  the  compensation  attached  to  the  posi- 
tions in  question. 

An  adequate  system  of  retirement  aids  in  both  the 
recruiting  and  retention  of  a  desirable  type  of  employee, 
and  it  permits  the  systematic  elimination  of  the  aged  or 
disabled    without    working    undue    hardship,    and    the 

*  See  Chapter  IV. 

19 


PUBLIC  PERSONNEL  ADMINISTRATION 

filling  of  the  vacancies  thus  created  by  younger  and 
more  capable  employees.  It  thus  affords  a  means  of 
increasing  both  the  efficiency  and  morals  of  public 
employment. 

Multiplying  Opportunities  for  Promotion.  Next  to  more 
adequate  basic  compensation,  perhaps  the  chief  need 
of  the  public  service  is  greater  opportunity  for  advance- 
ment and  promotion.  Compared  to  private  enterprise, 
the  public  service  offers  little  opportunity  for  advance- 
ment. To  a  certain  extent  this  circumstance  is  inherent 
in  the  nature  of  public  employment;  but  to  a  certain 
extent  it  can  be  modified.  Systems  of  public  employ- 
ment should  be  so  organized  and  administered  as  to 
offer  greater  opportrmities  for  advancement  and  promo- 
tion than  they  offer  to-day.  This  must  be  done  if 
capable  workers  are  to  be  attracted  and  retained  and  a 
high  degree  of  efficiency  attained  in  public  employment. 
A  system  of  public  employment  should  insure  that  an 
employee  who  is  rendering  efficient  service  may  look  for- 
ward with  reasonable  certainty  to  periodic  salary  in- 
creases. Such  increases  should  be  granted  on  the  basis 
of  length  of  service  and  the  attainment  of  fair  standards 
of  efficiency,  and  they  should  be  distinguished  from 
promotions  proper,  or  changes  from  a  lower  to  a  higher 
class  of  position.  A  plan  which  provides  for  such 
periodic  (salary  increases  will  tend  to  overcome  the  dead- 
ening effect  of  the  stationary  rates  of  pay  generally  in 
force  in  public  employment. 

A  system  of  public  employment  should  also  offer 
the  largest  possible  field  for  promotion,  in  the  sense  of 
appointment  to  positions  of  higher  rank,  involving  new 
duties  as  well  as  increased  compensation. 

The  merit  principle  has  an  important  bearing  on  this 

problem.    A  thorough  application  of  the  merit  principle 

20 


A  PUBLIC  EMPLOYMENT  PROGRAM 

to  all  of  the  non-elective  positions  of  the  executive 
branch  of  a  government  would  mean  a  con,siderable 
extension  of  the  opportunity  for  promotion.  It  would 
mean  that  the  more  ambitious  and  capable  members  of 
the  public  service  might  reasonably  aspire  to  many  of 
the  higher  positions  which  are  now  "unclassified,"  or 
are  treated  by  civil  service  commissions  as  "exempt" 
from  examination  requirements. 

Greater  freedom  of  promotion  from  positions  in  one 
department  to  higher  positions  in  another  would  also 
enlarge  materially  the  opportunity  for  promotion  in 
government  employment.  At  the  present  time  promo- 
tion from  one  department  to  another  is  usually  restricted 
by  artificial  rules  and  regulations.  Greater  freedom 
of  movement  between  departments  is  essential  to  an 
improvement  of  the  system  of  promotion.  Greater 
freedom  of  transfer  from  one  department  to  another 
would  also  be  of  considerable  value.  A  transfer  is  not 
a  promotion;  but  it  may  be  a  means  to  individual  self- 
development  and  to  subsequent  promotion.  At  the 
present  time  transfer  from  one  department  to  another 
is  frequently  hedged  about  by  artificial  restrictions. 
Greater  freedom  in  this  matter  would  go  far  toward 
improving  the  opportunity  for  advancement. 

An  adequate  retirement  system  is  also  of  considerable 
significance  in  this  connection.  Where  no  retirement 
system  is  in  force,  employees  frequently  remain  in  the 
service  long  after  they  have  ceased  to  give  an  adequate 
return  for  the  compensation  which  they  receive.  This 
situation  implies  waste  and  inefficiency;  it  also  implies 
that  opportunities  for  advancement  are  seriously  re- 
stricted. An  adequate  scheme  of  retirement,  with  pro- 
vision for  old  age  and  disability  benefits,  enables  a 
government  to  retire  its  employees  systematically,  and 

21 


PUBLIC  PERSONNEL  ADMINISTRATION 

thus  to  open  up  to  the  younger  and  more  capable  mem- 
bers of  the  service  greater  opportunities  for  advance- 
ment and  promotion. 

The  training  of  employees  for  greater  usefulness 
in  the  public  service  has  a  bearing  on  the  problem  of 
promotion.  Private  employers  generally  recognize  the 
value  of  providing  special  training  for  their  employees, 
but  comparatively  little  has  been  done  to  provide  facili- 
ties for  training  workers  for  greater  usefulness  in 
government  employment.  Such  training  facilities 
should  be  established.  Profiting  by  the  experience  of 
private  employers,  governments  should  realize  that  op- 
portunities for  promotion  must  be  supplemented  by 
suitable  facilities  for  preparation  for  promotion,  and 
that  the  encouragement  of,  and  provision  for,  training 
for  increased  usefulness  is  one  of  the  important  means 
of  enlarging  the  opportunity  for  advancement  and 
promotion  in  public  employment.  It  is  also  important 
that  the  vacancies  that  occur  in  the  higher  grades  or 
classes  of  the  public  service  be  filled  according  to 
methods  that  are  at  once  fair  and  efifective. 

Generally  speaking,  promotions  in  the  public  service 
have  not  been  made  according  to  a  strict  conception  of 
the  letter  and  (spirit  of  the  merit  principle.  Promotions 
and  salary  increases,  particularly  in  the  national  service, 
have  often  been  made  in  response  to  personal  or  political 
influence.  In  order  to  insure  that  the  public  service 
shall  offer  an  opportunity  for  an  honorable,  useful,  and 
satisfactory  career,  promotions  as  well  as  original  ap- 
pointments should  be  administered  in  accordance  with 
the  merit  principle. 

Extension  of  the  Functions  of  the  Civil  Service  Com- 
mission. In  large  part  the  improvement  of  public  em- 
ployment must  be  brought  about  directly  through  the 

22 


A  PUBLIC  EMPLOYMENT  PROGRAM   , 

government  agency  known  as  the  civil  (service  commis- 
sion. In  the  past  civil  service  commissions  have  per- 
formed a  comparatively  limited  fmiction.  In  the  main 
they  have  done  little  more  than  attempt  to  administer 
recruiting  for  government  positions  according  to  the 
requirements  of  the  merit  principle. 

In  the  field  of  private  enterprise,  the  employment  or 
personnel  department  has  a  broad  function,  which 
includes  not  only  the  recruiting  of  employees  but  also 
the  supervision  of  their  retention,  training,  and  develop- 
ment, and  in  some  cases  the  determination  of  the  basic 
conditions  of  employment.  In  order  to  meet  fully  the 
problem  presented  by  a  modern  system  of  public  em- 
ployment, the  civil  service  commission  should  exercise  a 
similarly  broad  function.  It  should  act  as  the  central- 
ized "employment  department"  of  the  government  in 
question  and,  within  limits,  should  determine  and  carry 
out  a  broad  and  constructive  program  of  public  em- 
ployment. 

Civil  service  commissions  have  been  hampered  in 
their  work  by  the  lack  of  scientific  classifications  of 
position's  and  fair  and  uniform  standards  of  compensa- 
tion. In  state  and  local  governments,  civil  service  com- 
missions should  be  given  the  power  to  classify  positions 
according  to  a  business-like  method  and  to  recommend 
corresponding  schedules  of  compensation.  In  the 
national  government,  the  civil  service  commission  as 
at  present  constituted,  may  not  be  the  logical  agency 
to  undertake  initially  the  whole  of  such  a  program.  In 
this  case  a  special  agency  may  be  needed.  Generally 
speaking,  however,  civil  service  commissions  should  be 
empowered  to  introduce  order  in  the  basic  structure  of 
public  employment  by  classifying  the  positions  under 
their  jurisdiction  according  to  a  business-like  principle 

23 


PUBLIC  PERSONNEL  ADMINISTRATION 

and  by  recommending  to  the  appropriating  bodies,  fair 
and  uniform  salary  standards. 

Moreover,  civil  service  commissions  should  exercise 
a  broad  power  of  supervision  over  all  the  manifold 
phases  of  public  employment.  Their  work  should  not 
stop  with  the  recruiting  of  public  employees.  They 
should  regulate  the  retention  and  promotion  of  em- 
ployees, and  the  maintenance  of  reasonable  standards 
of  efficiency  in  public  employment.  They  should  also 
supervise  the  training  of  public  employees,  and  the 
maintenance  of  healthful  and  attractive  working  con- 
ditions. 

The  duty  indicated  is  not  that  of  civil  service  com- 
missions alone.  The  responsible  heads  of  government 
departments,  whether  chosen  by  election  or  appointment, 
must  discharge  a  corresponding  function  of  personal 
administration.  They  must  recognize  that  "personnel" 
constitutes  a  problem  separate  and  distinct  from  that 
of  operation,  and  one  worthy  of  the  most  serious  atten- 
tion. In  large  government  departments,  personnel 
managers  are  needed  to  handle  the  special  aspects  of 
this  problem,  and  should  act  in  a  measure  as  mediating 
links  betw^een  the  departments  and  the  civil  service 
commission.  Moreover,  in  large  departments,  personnel 
committees  should  be  formed,  representing  partly  the 
administrative  heads  and  partly  the  rank  and  file  of 
subordinate  employees.  All  of  these  agents  and 
agencies — department  heads,  personnel  managers,  rep- 
resentative committees,  and  civil  service  commissions — 
must  work  together  in  a  hearty  spirit  of  cooperation  if 
we  are  to  see  the  formulation  and  execution  of  a  pro- 
gressive program  of  civil  service  employment. 

The  civil  service  commission,  therefore,  is  only  one 

of  several  instrumentalities  through  which  the  improve- 

24 


A  PUBLIC  EMPLOYMENT  PROGRAM   ' 

ment  of  public  employment  must  be  accomplished.  It 
is,  however,  the  central  one  of  these  instrumentalities, 
from  which  leadership  in  this  matter  must  be  expected 
to  come. 

Creation  of  Esteem  for  the  Public  Service.  There  re- 
mains an  additional  means  of  improving  the  public 
service  which  is  not  entirely  under  official  control,  the 
creation  of  greater  popular  esteem  for  the  public 
servant  and  for  the  public  service.  It  is  a  well  known 
fact  that  the  civil  service,  generally  speaking,  does  not 
enjoy  as  high  a  degree  of  popular  esteem  in  this  country, 
as  does  the  civil  service  of  some  of  the  countries  of 
Europe,  notably  Great  Britain  and  Germany.  This 
may  be  due  to  the  faults  of  the  civil  service,  to  an  un- 
appreciative  attitude  on  the  part  of  the  public,  or  to 
other  factors  of  our  history  or  national  psychology. 
Whatever  the  explanation,  it  is  unfortunately  the  fact. 

A  new  popular  attitude  is  essential  to  any  marked 
improvement  of  the  civil  service  in  this  country.  It 
must  accompany  the  much  needed  reform  in  the  rates 
of  pay  and  other  basic  conditions  of  public  employment. 
But  it  will  have  an  additional  effect.  A  genuine  popular 
regard  for  the  public  service  would  create  an  *'atmos- 
phere"  in  which  the  service  might  be  expected  to  develop 
a  new  esprit  de  corps,  and  to  become  at  once  more 
efficient  and  more  attractive  to  capable  worker|s. 

Such  a  popular  attitude  toward  the  civil  service  will 
depend  on  a  number  of  conditions.  The  service  must 
be  made  exclusive,  in  the  sense  that  only  properly 
qualified  persons  are  admitted  to  it,  especially  in  the 
higher  positions.  The  service,  too,  must  offer  reason- 
able rates  of  compensation,  otherwise  it  will  not  long 
enjoy  a  high  place  in  popular  regard.  Most  important 
of  all,  perhaps,  the  civil  service  mUjSt  have  a  reputation 

25 


PUBLIC  PERSONNEL  ADMINISTRATION 

for  efficiency.  In  order  to  supply  the  last  named  con- 
dition, the  civil  service  must  attain  a  high  degree  of 
efficiency  in  fact  as  well  as  in  general  reputation.  The 
public  service  can  reach  a  high  degree  of  effectiveness 
only  through  definite  improvements  in  governmental 
methods  and  machinery  as  well  as  in  governmental 
personnel.  To  a  certain  extent,  however,  it  can  be  made 
more  effective  through  measures  that  will  insure  a  better 
selection  of  government  per^sonnel  and  the  stimulation 
of  effort  and  productivity.  Such  increased  effective- 
ness of  the  public  service  must  be  the  basic  element  in 
the  creation  of  greater  popular  esteem. 

But  in  order  to  establish  a  popular  reputation  for 
efficiency  the  public  service  must  not  only  be  efficient, 
but  must  be  generally  known  to  be  efficient.  At  the 
present  time,  the  achievements  of  the  permanent  per- 
sonnel of  national,  state,  and  city  governments  are 
insufficiently  recognized.  The  average  citizen  has  a 
very  inadequate  idea  of  the  size  and  ramificationis  of  the 
business  carried  on  by  our  governments,  and  the  high 
degree  of  effectiveness  with  which,  on  the  whole,  it  is 
accomplished.  The  public  service  stands  greatly  in  need 
of  a  campaign  of  advertising  and  popular  education.  It 
should  be  more  generally  presented  to  the  public  in  the 
light,  not  only  of  its  shortcomings,  but  also  of  its  sub- 
stantial and  indubitable  accomplishments. 

A  higher  degree  of  popular  regard  for  the  public 
service,  reflecting  a  more  appreciative  understanding  of 
actual  achievement  on  the  part  of  the  public  at  large,  will 
have  a  most  beneficial  effect  on  public  employment.  It 
will  lead  to  better  basic  terms  and  conditions  of  employ- 
ment and  also  to  an  environment  in  which  public  employ- 
ment may  be  expected  to  attain  the  maximum  degree  of 

effectiveness. 

26 


CHAPTER  III 

THE  CIVIL  SERVICE  COMMISSION 

Legal  Status  of  a  Civil  Service  Commission.  A  civil  ser- 
vice commission  is  an  agency  created  for  the  purpose 
of  enforcing  civil  service  legislation.  Such  an  agency- 
may  be  created  by  legislative  act  or  by  constitutional 
or  charter  provision.  The  national  Civil  Service  Com- 
mission was  authorized  in  1883  by  act  of  Congress. 
The  state  commissions  have  usually  been  authorized  by 
action  of  the  state  legislatures,  though  the  Ohio  and 
Colorado  commissions  were  created  by  special  provi- 
sions in  the  state  constitutions.  Some  of  the  municipal 
civil  service  commissions  have  been  created  directly  by 
the  civil  service  laws  enacted  by  the  respective  state 
legislatures.  Others  have  been  created  by  special 
provision  in  city  charters.  Thus,  civil  service  commis- 
sions exist  in  Philadelphia  and  Pittfeburgh,  though  there 
is  no  civil  service  commission  in  charge  of  public  em- 
ployment in  the  State  of  Pennsylvania. 
Selection  of  a  Civil  Service  Commission.  A  civil  service 
commission  commonly  consists  of  three  members.  The 
selection  of  properly  qualified  persons  for  membership 
in  the  commission  is  a  matter  of  crucial  importance  in 
determining  the  success  of  civil  service  administration. 
In  practice  civil  service  commissioners,  with  few  excep- 
tions, are  appointed  by  the  executive  head  of  the  gov- 
ernment in  question.  National  civil  service  commis- 
sioners are  appointed  by  the  President.  State  civil 
service  commissionens  are  appointed  by  the  governor, 

and  municipal  civil  service  commissioners  are  usually 

27 


PUBLIC  PERSONNEL  ADMINISTRATION 

appointed  by  the  mayor.  They  may  also  be  removed 
by  the  executive  head  of  the  government. 

It  is  sometimes  urged  that  civil  service  commission- 
ers be  chosen  on  the  basis  of  competitive  examination. 
It  has  been  argued  that  "civil  service  commissionerships 
should  themselves  be  classified  and  should  be  filled  only 
after  competitive  test,  the  candidates  standing  highest 
on  the  list  to  be  certified  and  appointed.  ...  It  is  anom- 
alous and  indefensible  to  allow  the  highest  civil  service 
office  itself  to  be  and  remain  a  spoils  position.  ...  A 
seat  at  the  civil  service  board  is  not  a  political  policy 
making  position.  It  is,  therefore,  no  part  of  the  gov- 
ernor's or  the  mayor's  administration."  ^  This  sug- 
gestion is  of  doubtful  feasibility  under  existing  con- 
ditions. It  overlooks  the  difficulty  of  selecting  officers 
of  the  qualifications  required  in  civil  service  commis- 
sioners on  the  basis  of  examination  as  well  as  the  fact 
that  the  civil  service  commission  must  be  responsible  in 
a  high  degree  to  the  executive  authority  which  is  re- 
sponsible for  the  resultjs  achieved  in  the  administration 
of  the  government  in  question. 

Civil  service  commissioners,  however,  should  be 
chosen  with  regard  to  certain  definite  principles.  They 
should  be  chosen  with  regard  to  both  integrity  and 
special  ability.  Civil  service  laws  generally  provide  that 
not  more  than  two  of  the  three  commissioners  shall  be 
"adherents  of  the  same  political  party."  Some  laws 
provide  that  persons  shall  be  chosen  as  civil  service 
commissioners  who  are  "known  to  favor  the  principle 
of  merit  and  efficiency  in  the  public  service."  The 
continued  enlightenment  of  public  opinion  concerning 
the  vital  importance  of  keeping  the  civil  service  "out  of 

1  Draft  of  a  Standard  Civil  Service  Law,  National  Assembly  of 
Civil  Service  Commissions,  1916,  p.  5. 

28 


THE  CIVIL  SERVICE  COMMISSION 

politics"  and  of  administering-  it  on  a  business-like  basis 
is  about  the  only  practical  means  of  insuring  the  en- 
forcement of  this  salutary  provision.  Moreover,  men 
should  be  chosen  as  civil  service  commissioners  who 
possess  special  qualifications  and  ability.  Good  inten- 
tions alone  are  not  sufficient  to  insure  an  effective  ad- 
ministration of  public  employment.  The  work  of  a  civil 
service  commission  touches  a  great  variety  of  matters, 
lying  in  the  fields  of  law,  business,  industry,  engineering, 
medicine,  and  especially  in  the  newly  developed  field 
of  employment  management.  A  commission  consisting 
of  three  members  may  well  contain  men  of  widely  dif- 
ferent training  and  experience  in  the  fields  indicated. 
It  should  include,  in  any  case,  at  least  one  member  who 
is  thoroughly  acquainted  with  the  point  of  view  and 
methods  of  the  rapidly  developing  profession  of  employ- 
ment or  personnel  administration. 

The  term  of  office  for  which  civil  service  commis- 
sioners are  appointed  varies  from  two  to  six  years.  The 
terms  of  the  several  members  of  a  commission  are  fre- 
quently so  defined  as  to  overlap.  In  view  of  the  duties 
involved,  the  legal  term  of  office  of  a  civil  service  com- 
missioner should  be  reasonably  long.  It  may  well  be 
set  at  six  years.  A  civil  service  commissioner,  in  order 
to  discharge  effectively  the  duties  of  his  office,  must  have 
a  knowledge  of  a  number  of  technical  matters  peculiar 
to  a  system  of  public  employment.  He  can  usually 
acquire  this  knowledge  only  after  long  experience.  As 
a  matter  of  fact,  civil  service  commissioners  have  fre- 
quently not  remained  in  office  long  enough  to  acquire 
a  knowledge  of  the  conditions  and  needs  of  the  service 
and  to  make  their  knowledge  effective,  and  the  circum- 
stance has  been  one  of  the  chief  hindrances  to  progress 
in  civil  service  administration. 

29 


PUBLIC  PERSONNEL  ADMINISTRATION^ 

It  goes  without  saying  that  not  only  should  the  term 
of  office  be  reasonably  long,  but  the  tenure  pf  office 
reasonably  secure.  The  most  immediate  means  of  in- 
suring permanency  of  tenure  during  efficient  service, 
and,  as  a  corollary,  removal  for  incompetency,  is  develop- 
ment of  a  public  opinion  that  appreciates  the  importance 
of  a  proper  handling  of  public  employment. 

The  pay  of  members  of  civil  service  commissions  is 
a  matter  of  considerable  practical  importance.  Hitherto, 
civil  service  commissioners  have  frequently  received  no 
pay  at  all,  or  pay  entirely  inadequate.  While  many  men 
have  in  the  past  rendered  valuable  service — usually 
indeed  only  part-time  service — for  little  or  no  pay,  the 
time  has  come  when  civil  service  commissioners,  should 
be  given  compensation  proportionate  to  the  importance 
of  their  duties.  At  the  present  time  members  of  the 
United  States  Civil  Service  Commission  receive  a  salary 
of  $5,000.  The  report  of  the  Congressional  Joint  Com- 
mission recommends  that  the  salary  be  increased  to 
$7,500.  The  civil  service  law  recently  passed  in  Mary- 
land provides  that  the  commissioner  (there  being  but 
one)  shall  receive  a  salary  of  $5,000.  The  question  of 
adequate  pay  is  closely  connected  with  that  of  the 
amount  of  time  which  civil  service  commissioners  give 
to  their  duties.  In  the  smaller  governments  there  is  no 
occasion  for  full-time  service  on  the  part  of  members 
of  the  civil  service  commission,  or  at  least  on  the  part 
of  all  members  of  the  commission,  but  in  the  state  and 
larger  city  governments  the  members  of  the  civil  service 
commission  may  well  be  expected  to  give  full-time  ser- 
vice in  handling  the  problems  of  public  employment. 
Where  full-time  service  is  expected,  civil  service  com- 
missioners should,  as  a  general  rule,  receive  pay  equal 
to  that  of  the  head  of  a  state  or  city  department. 

30 


THE  CIVIL  SERVICE  COMMISSION 

Qu^si-legislative  Functions.  The  duties  of  a  civil  ser- 
vice commission  fall  into  three  main  categories.  They 
may  be  designated  as  quasi-legislative,  quasi-judicial, 
and  administrative  or  executive. 

The  quasi-legislative  function  of  a  civil  service 
commission  includes  the  formulation  of  rules  and  regu- 
lations governing  the  various  phases  of  public  employ- 
ment. The  law  authorizing  a  civil  service  commission 
usually  lays  down  the  broad  principles  to  be  followed 
in  working  out  an  employment  program ;  but  it  does  not 
provide  a  sufficiently  definite  basis  for  administrative 
action.  Civil  service  commissions,  therefore,  are  em- 
powered to  determine  the  specific  conditions  which  shall 
govern  public  employment.  They  accordingly  prescribe 
specific  rules  governing  examinations,  appointments, 
records  of  individual  efficiency,  transfers,  reinstate- 
ments, promotions,  removals,  and  other  phases  of  public 
employment.  These  rules  have  "the  force  and  effect 
of  law." 

The  quasi-legislative  activity  of  a  civil  service  com- 
mission includes  also  the  important  function  of  "classi- 
fying" the  positions  under  its  jurisdiction.  A  civil 
service  commission  may  "classify"  positions  in  several 
different  senses  of  that  word.  Since  the  earliest  days 
of  civil  service  legislation,  commissions  have  been 
authorized  to  classify  positions  with  regard  to  the 
practicability  of  filling  them  on  the  basis  of  examination. 
The  civil  service  law  usually  states  that  "appointments 
and  promotions  shall  be  made  according  to  merit  and 
fitness,  to  be  ascertained,  as  far  as  practicable,  by  ex- 
aminations which,  as  far  as  practicable,  shall  be  com- 
petitive." The  law  imposes  upon  civil  service  commis- 
sions the  task  of  determining  which  positions  within 
the  classified  service  may  practicably  be  filled,  first,  on 

31 


PUBLIC  PERSONNEL  ADMINISTRATION 

the  basis  of  examination,  and,  second,  on  the  basis  of 
competitive  examination. 

Civil  service  commissions  have  usually  classified  the 
positions  under  their  control  into  four  main  groups. 
They  have  set  up  (i)  an  exempt  class,  (2)  a  non- 
competitive class,  (3)  a  competitive  class,  and  (4)  a 
labor  class.  An  exempt  position,  usually  a  position  of 
considerable  importance  and  carrying  a  comparatively 
high  salary,  is  one  which  it  is  deemed  impracticable  to 
fill  on  the  basis  of  examination.  It  is,  therefore,  placed 
voluntarily  outside  the  control  of  the  commission.  An 
exempt  position  is  filled  and  vacated  at  the  pleasure  of 
the  appointing  officer,  without  regard  to  civil  service 
requirements.  A  non-competitive  position  is  one  which 
it  is  deemed  impracticable  to  fill  on  the  basis  of  an  opep 
competitive  examination,  but  which  nevertheless  is  fiUea 
only  after  the  appointee  has  passed  a  so-called  qualify- 
ing examination.  A  competitive  position  is  one  which 
is  filled  on  the  basis  of  an  open  competitive  examination. 
Labor  positions,  except  in  the  case  of  skilled  trades,  are 
classed  as  falling  outside  examination  requirements. 

There  can  be  no  doubt  that  civil  service  commissions 
have  sometimes  abused  the  power  of  classifying  the 
positions  under  their  jurisdiction.  It  was  found  in  New 
York  State  in  19 16  that 

1,616  positions  within  the  so-called  classified  service  of  the 
State  administrative  departments  and  other  offices  are  filled 
without  examination  or  other  competitive  civil  service  require- 
ments. They  are  termed  "exempt  positions,"  Many  of  these 
are  positions  of  responsibility  requiring  such  technique  and 
training  that  the  highest  degree  of  efficiency  is  secured  only 
where  the  incumbents  have  had  appropriate  training  before 
appointment  and  are  assured  permanence  of  tenure  after  ap- 
pointment to  the  service.  Appointment  without  competition 
does  not  necessarily  prevent  the  selection  of  competent  em- 

32 


THE  CIVIL  SERVICE  COMMISSION 

ployees.  It  has,  in  fact,  in  many  instances,  secured  well  quali- 
fied persons  for  the  State  service.  But  it  does  not  insure  the 
selection  of  competent  employees  and  almost  invariably  leads 
to  retirement  before  the  best  results  are  obtained.  This  is 
responsible  for  needlessly  recurring  waste  in  the  management 
of  the  State's  business.^ 

In  order  to  forestall  this  condition,  the  civil  service 
law  of  Illinois  does  not  grant  to  the  commissions  in  that 
state  the  power  to  classify  positions  as  exempt  or  as 
non-competitive.  Mr.  William  B.  Moulton,  President 
of  the  Illinois  Civil  Service  Commission,  has  written 
as  follows: 

Our  laws  make  but  few  exemptions  and  these  generally 
are  limited  to  heads  of  principal  departments.  The  commis- 
sions have  no  power  to  classify  as  exempt  or  non-competitive 
any  position  in  the  service.  The  Legislature  did  that  once  for 
all  in  the  statute.  .  ,  .  After  six  years  as  an  administrator 
of  this  law,  I  have  yet  to  find  any  reason  based  on  the  alleged 
confidential  nature  or  on  the  impracticability  of  competition 
which  should  exempt  a  position.  In  administering  the  law  we 
are  absolutely  relieved  of  all  the  troubles  of  the  New  York 
Commission,  for  we  cannot  exempt  a  single  position. 

This  solution  of  the  problem  is,  however,  too  drastic 
to  be  applied  generally.  Civil  service  commissions  in 
some  circumstances  may  properly  exempt  certain  posi- 
tions, whether  to  meet  exigencies  of  the  service,  to  fill 
certain  positions  for  which  examinations  are  not  readily 
devised  and  conducted,  or  to  allow  a  reasonable  degree 
of  freedom  to  responsible  administrative  oflEicers  in  the 
making  of  appointments. 

Some  civil  service  commissions  have  been  authorized 
to  ''classify"  positions  in  a  different  sense,  according  to 

2  Report  of  New  York  Senate  Committee  on  Civil  Service,  1916, 
p.  xxiv. 

33 


PUBLIC  PERSONNEL  ADMINISTRATION 

the  duties  and  qualifications  required  in  them,  and  to 
recommend  corresponding  salary  standards.  In  some 
cases  civil  service  commissions  have  carried  on  this  work 
independently.  In  some  of  the  larger  jurisdictions  they 
have  undertaken  it  in  cooperation  with  other  official  or 
unofficial  agencies.  As  has  been  indicated,  all  civil 
service  commissions  should  be  given  broad  powers  over 
the  classification  of  positions,  according  to  the  duties 
and  qualifications  required.  Only  where  they  have  such 
powers  are  they  in  a  position  to  work  out  a  constructive 
plan  of  public  employment. 

Quasi- judicial  Functions.  Civil  service  commissions  are 
required  to  exercise  a  number  of  functions  of  a  quasi- 
judicial  nature.  They  hear  appeals  from  ratings  given 
on  examinations,  whether  for  original  entrance  to  the 
service  or  for  promotion.  As  there  is  inevitably  a  cer- 
tain element  of  error  in  the  rating  of  examinations,  a 
review  of  ratings  is  sometimes  necessary  to  insure 
justice  to  individual  examinees.  It  also  serves  as  a 
useful  check  on  the  work  being  done  by  the  examining 
and  rating  staff  of  the  commission. 

Some  civil  service  commissions  decide  matters  per- 
taining to  suspension  and  dismissal.  They  hear  and 
determine  the  merits  of  any  charges  brought  against 
public  employees  on  grounds  of  incompetence,  insubordi- 
nation, or  misconduct,  whether  those  charges  are 
initiated  within  or  outside  the  civil  service.  Few  civil 
service  commissions,  however,  have  the  power  of  decid- 
ing cases  of  dismissal.  In  perhaps  80  per  cent  of  the 
civil  service  jurisdictions  throughout  the  country,  ad- 
ministrative officers  have  the  power  to  remove  their 
subordinate  employees,  either  absolutely  or  subject  to 
certain  restrictions. 

The  appointing  officer  should  have  the  power  to  re- 

34 


THE  CIVIL  SERVICE  COMMISSION 

move,  suspend,  or  lay  off  his  subordinates.  If  he  does 
not  have  this  power,  it  is  difficult  to  see  how  he  can 
enforce  discipline  and  maintain  a  high  standard  of 
efficiency  in  the  organization  for  which  he  is  responsible. 
At  the  same  time,  an  administrative  officer  in  making 
removals  should  be  subject  to  definite  restrictions.  Civil 
service  laws  commonly  provide  that  he  shall  not  remove 
public  employees  because  of  religious  or  political  affilia- 
tions, but  only  for  bona  fide  reasons  of  misconduct  or 
incompetency.  In  order  to  make  effective  this  provision, 
the  administrative  officer  should  be  required  to  furnish 
the  employee  whom  he  wishes  to  remove,  a  written  state- 
ment of  the  reasons  for  his  action,  and  to  give  the  em- 
ployee an  opportunity  to  reply  in  writing.  He  should 
also  be  required  to  file  with  the  civil  service  commission 
a  copy  of  the  reasons  for  his  action  and  a  copy  of  the 
reply  of  the  employee. 

Experience  shows  that  where  the  civil  service  system 
is  once  well  established  administrative  officers  do  not 
ordinarily  abuse  the  power  of  removal.  The  motive  for 
making  an  unjust  removal  would  be  in  most  cases  the  de- 
sire to  put  in  the  place  of  the  employee  removed  a  person 
more  acceptable  on  political  or  similar  grounds.  But  an 
administrative  officer  has  little  incentive  for  making  an 
unjust  removal  if  entrance  to  the  civil  service  is  safe- 
guarded by  a  careful  enforcement  of  the  merit  principle. 

Civil  service  commissions  have  the  further  duty  of 
hearing  and  adjusting  complaints  made  by  public  em- 
ployees. Hitherto,  they  have  confined  their  work  in  this 
connection  mainly  to  the  hearing  of  complaints  of  a 
minor  character  concerning  rules  and  regulations.  In 
the  future  it  is  not  improbable  that  they  may  be  able  to 
discharge  a  more  important  function  in  this  connection. 
Judging  by  experience  in  the  industrial  world,  it  is  not 

35 


PUBLIC  PERSONNEL  x\DMINLSTRATION 

unlikely  that  civil  service  commissions  will  be  able  to 
serve  a  useful  purpose  by  facilitating  a  freer  expression 
of  the  desires  of  public  employees,  and  by  mediating 
between  the  government  and  its  employees  in  the  adjust- 
ment of  questions  concerning  terms  and  conditions  of 
employment. 

Executive  Functions.  A  civil  service  commission  is 
charged  primarily  with  the  duty  of  selecting  public 
employees  on  the  basis  of  merit  and  fitness.  In  carrying 
out  this  duty,  it  must  devise  suitable  examinations,  study 
the  sources  from  which  candidates  may  be  drawn,  ad- 
vertise the  examinations  widely  and  conduct  and  rate 
the  examinations.  The  selection  of  candidates  for  the 
civil  service  represents  the  largest  part  of  the  adminis- 
trative work  of  a  civil  service  commission. 

After  the  candidates  for  a  given  class  of  position 
have  been  examined  and  rated,  the  commission  prepares 
lists  of  eligibles.  When  an  administrative  officer  sub- 
mits to  the  commission  a  requisition  for  a  person  to  fill 
a  position  of  the  class  in  question,  the  commission  certi- 
fies to  him  the  names  of  those  standing  highest  on  the 
list  of  eligibles.  The  usual  rule  is  that  the  names  of 
the  three  persons  standing  highest  on  the  eligible  list 
shall  be  submitted  to  the  administrative  officer.  Of  the 
three  persons  certified,  the  administrative  officer  selects 
one  for  appointment. 

Civil  service  laws  usually  provide  that  no  public 
employee  shall  work  "out  of  grade,"  that  is,  in  a  position 
other  than  the  one  to  which  he  has  been  appointed  and 
for  which  he  is  receiving  compensation.  In  order  to 
secure  the  enforcement  of  this  provision,  civil  service 
commissions  are  often  required  to  audit  the  payrolls  of 
the  various  government  departments.  Thus,  the  civil 
service  commission  exercises  general  supervision  over 

36 


THE  CIVIL  SERVICE  COMMISSION 

the  assignment  of  public  employees.  Where  conditions 
permit,  this  supervision  should  be  so  exercised  as  to 
allow  responsible  administrative  heads  a  reasonable 
degree  of  freedom  in  making  minor  changes  in  the  as- 
signment of  the  personnel  of  their  departments. 

Civil  service  laws  frequently  provide  that  the  com- 
mission shall  install  and  supervise  systems  to  facilitate 
the  rating  and  control  of  individual  efficiency.  In  carry- 
ing out  this  supervision,  commissions  have  worked  out 
a  variety  of  methods  for  recording  individual  efficiency, 
none  of  which  has  proved  in  practice  entirely  satisfac- 
tory. Commissions  generally  recognize  the  need  of  an 
objective  measure  of  the  value  of  the  service  of  public 
employees,  and  may  be  expected  in  the  future  to  meet 
this  need  by  devising  practical  methods  of  rating  and 
recording  individual  efficiency. 

Coordinate  with  the  duty  of  selecting  applicants  for 
original  entrance  to  the  civil  service  is  that  of  regulating 
promotions.  Civil  service  laws  commonly  provide  that 
the  commission  shall  regulate  promotions  on  the  basis 
of  fitness  and  merit,  to  be  determined  as  far  as  prac- 
ticable by  competitive  examination.  As  a  matter  of 
fact,  civil  service  commissions  have  generally  allowed 
the  control  over  promotions  to  remain  very  largely  in 
the  hands  of  administrative  officers.  In  order  to  insure 
a  much  needed  reform  in  this  matter,  civil  service  com- 
missions should  exercise  a  larger  control  over  the  grant- 
ing of  promotions. 

A  function  which  civil  service  commissions  have 
exercised  to  only  a  limited  degree,  but  one  which  prop- 
erly belongs  to  them,  is  the  supervision  of  the  training 
of  public  employees  for  increased  usefulness.  Training 
of  this  kind  is  particularly  desirable  in  view  of  the  highly 
specialized  character  of  many  civil  service  employments. 

37  ' 


PUBLIC  PERSONNEL  ADMINISTRATION 

The  civil  service  commission  should  study  the  educa- 
tional needs  of  the  various  government  departments, 
and  should  have  general  supervision  over  the  activities 
carried  on  in  the  interest  of  vocational  education. 

Among  the  administrative  duties  of  the  civil  service 
commission  is  that  of  investigating  and  reporting  on 
conditions  which  affect  the  welfare  and  morale  of  public 
employees.  Civil  service  commissions  have  in  the  main 
neglected  to  exercise  this  function.  In  order  to  become 
really  effective  as  agencies  of  employment  control,  civil 
service  commissions  should  keep  themselves  currently 
informed  concerning  the  conditions  which  obtain  in 
public  employment,  and  should,  in  so  far  as  it  lies  within 
their  province,  take  action  looking  to  the  maintenance 
of  wholesome  and  attractive  employment  conditions. 
Organization  of  the  Civil  Service  Commission.        The 

successful  exercise  of  the  foregoing  functions  demands 
corresponding  organization.  In  the  case  of  larger  gov- 
ernments, it  demands  a  considerable  degree  of  internal 
organization  within  the  civil  service  commission  and 
in  the  civil  service  department. 

In  exercising  its  quasi-legislative  function,  that  is, 
in  enacting  rules  and  regulations  governing  public  em- 
ployment, in  handling  the  question  of  exemption,  and 
in  determining  questions  of  policy,  a  civil  service  com- 
mission usually  acts  collectively,  as  a  deliberate  body. 
In  such  matters  a  collective  judgment  is  more  reliable 
than  the  judgment  of  a  single  individual,  and  it  tends, 
moreover,  to  inspire  confidence  in  the  integrity  of  the 
public  employment  system. 

In  a  similar  way,  in  exercising  its  quasi-judicial 
function,  that  is,  in  the  hearing  of  appeals  or  com- 
plaints, or  in  determining  questions  of  discipline,  a  civil 
service  commission  usually  acts  collectively. 

38 


THE  CIVIL  SERVICE  COMMISSION 

Experience  has  shown,  however,  that  in  carrying 
out  its  adj^i^trative  duties,  a  civil  service  commission 
does  bestSpPTelegate  definite  responsibihty  to  a  single 
member  of  the  commission.  Where  a  commission  at- 
tempts to  act  as  a  board  in  handling  administrative  mat- 
ters, the  result  is  almost  certain  to  be  a  division  of 
responsibility,  and  consequent  indecision  and  inaction. 
A  civil  service  commission  should,  therefore,  make  a 
single  member  responsible  for  all  administrative  func- 
tions, or  specific  members  responsible  for  specifically 
defined  administrative  functions.  In  the  case  of  gov- 
ernments of  moderate  size,  a  single  member  of  the 
commission  may  well  be  made  responsible  for  all  matters 
of  administration,  such  as  the  conduct  of  examinations, 
the  preparation  of  eligible  lists,  the  certification  of 
eligibles,  the  supervision  of  efficiency  ratings,  the  in- 
spection of  working  conditions,  etc. 

In  the  larger  governments,  the  civil  service  com- 
mission has  a  more  or  less  extensive  staff  of  assistants. 
There  is  a  secretary  of  the  commission,  whose  duties 
are  those  of  general  supervision  over  the  administrative 
work  of  the  civil  service  department.  There  is  fre- 
quently a  chief  examiner,  who  supervises  the  prepara- 
tion, conduct,  and  rating  of  examinations.  In  some 
cases  the  same  person  holds  both  the  ofiice  of  secretary 
and  that  of  chief  examiner.  In  order  to  insure  con- 
tinuity in  the  work  of  a  civil  service  department,  it  is 
highly  desirable  that  the  secretary  of  the  commission  be 
a  permanent  official,  chosen  according  to  the  ordinary 
rules  for  filling  positions  in  the  classified  service,  that  is, 
on  the  basis  of  open  competitive  examination.  In  addi- 
tion to  the  secretary  and  the  chief  examiner,  the  civil 
service  commission  in  the  larger  governments  has  a  staff 
of  examiners,  who  are  especially  qualified  to  prepare 

39 


PUBLIC  PERSONNEL  ADMINISTRATION 

examinations  pertaining  to  the  various  fields  of  public 
employment;  a  staff  of  investigators  wli0^!ilake  char- 
acter investigations  and  verify  experience  statements; 
and  a  force  of  clerks  and  stenographers  who  handle  the 
correspondence,  files,  and  other  records  of  the  com- 
mission. 


I. 
I 


# 


CHAPTER  IV 


STANDARDIZATION  OF  PUBUC 
EMPI^OYMENT 

Purpose  of  Standardization.  What  has  come  to  be 
known  in  a  more  or  less  technical  sense  as  ''standardiza- 
tion" is  the  necessary  foundation  of  a  business-like  and 
equitable  administration  of  public  employment.  With- 
out a  standardization  of  the  terms  and  conditions  of  em- 
ployment, the  agencies  charged  with  the  control  of  civil 
service  personnel  have  on  their  hands  a  problem  im- 
possible of  solution.  Provided  with  a  standardization 
of  employment  conditions,  civil  service  commissions  and 
administrative  heads  have  a  basis  on  which  to  perform 
effectively  the  duty  of  employment  administration. 

The  standardization  movement,  which  began  about 
fifteen  years  ago,  represents  the  positive  phase  of  civil 
service  reform  as  contrasted  with  the  older  negative 
phase,  which  was  concerned  mainly  with  the  imposition 
of  checks  and  restrictions  on  administrative  authority. 
It  represents  an  effort  to  place  in  the  hands  of  civil  serv- 
ice commissions  and  of  administrative  officers  positive 
means  of  dealing  uniformly  and  effectively  with  em- 
ployment problems. 

The  movement  first  led  to  concrete  results  in  the 
government  of  the  City  of  Chicago.  An  overhauling 
of  the  entire  system  of  employment  was  undertaken  in 
1909  by  the  Municipal  Efficiency  Commission.  In  1905 
the  civil  service  commission  had  distinctly  recognized 
the  need  of  a  standardization.  Its  rei)ort  of  that  year 
stated: 

41 


PUBLIC  PERSONNEL  ADMINISTRATION 

Experience  has  demonstrated  that  a  change  should  be 
made,  and,  after  long  study  of  the  question,  i^gll^  been  con- 
cluded that  a  new  system  of  grading  should  b^lBpced  out  on 
the  lines  of  the  particular  duties  performed.  Tn€  task  is  not 
an  easy  one  and  will  require  the  best  efforts  of  the  Commis- 
sion, but  in  time  a  better  system  of  grading  will  be  devised. 
.  .  .  There  must  come  the  establishment  of  a  salary  system 
which  shall  have  a  direct  relation  to  the  grade  of  work  in 
which  the  employee  is  engaged.  At  the  present  time  there  is 
no  system  under  which  they  are  graded  in  the  city  service. 

The  annual  report  for  1906  stated: 

Our  method  of  grading,  based  upon  compensation,  has  not 
been  satisfactory  and  has  caused  us  much  concern,  and  thus 
far  we  have  not  been  able  to  devise  more  satisfactory  methods, 
based  upon  duties.  Practically  the  chief  trouble  arises  from 
the  great  inequality  of  salaries  paid  in  the  various  departments 
of  the  city. 

The  report  for  1907,  reiterating  the  same  view, 
declared : 

Most  serious  of  the  problems  which  embarrass  the  admin- 
istration of  the  civil  service  is  the  matter  of  grading.  The 
records  show  that  this  difficulty  has  been  recognized  by  pre- 
ceding commissions.  Its  solution  can  no  longer  be  postponed. 
The  Commission  will  undertake  to  re-classify,  re-grade,  and, 
in  a  measure,  establish  a  standard  for  fixing  uniform  salaries. 

The  conditions  here  pictured  are  typical  of  those 
which,  in  other  governments,  led  to  a  realization  of  the 
need  of  standardization.  Following  the  initiative  of 
Chicago,  New  York  City  and  Pittsburgh  and  Illinois 
and  New  York  State  authorized  a  standardization  of 
employment  conditions.  The  states  of  New  Jersey, 
Ohio,  and  Wisconsin;  Los  Angeles  County;  and  the 
cities  of  Philadelphia,  Buffalo,  Rochester,  Milwaukee, 
Dayton,  Minneapolis,  Portland  (Ore.),  and  Seattle  have 
since    authorized    a    standardization    and    carried    it 

42 

J 


STANDARDIZATION 

through  to  a  greater  or  lesser  degree  of  completion.  In 
1919  Congress  created  a  joint  commission,  which  was 
empowered  to  recommend  a  "reclassification  of  salaries"" 
of  national  employees  in  Washington.  The  commission 
has  made  its  report,  ''submitting  a  classification  of  posi- 
tions on  the  basis  of  duties  and  qualifications,  and 
schedules  of  compensation  for  the  respective  classes." 

A  standardization  of  public  employment  is  concerned 
in  the  first  instance  with  the  problem  of  compensation. '' 
It  fixes,  as  nearly  as  this  can  be  done,  an  equitable  rate 
of  pay  for  each  class  or  grade  of  work,  taking  into  con- 
sideration the  nature  of  the  duties  and  the  qualifications 
required.  It  also  establishes  equal  pay  for  equal  work. 
It  fixes  a  rate  of  compensation  for  each  class  of  work, 
regardless  of  who  performs  it  or  the  department  of  the 
public  service  in  which  it  is  performed.  But  a  standard- 
ization goes  beyond  this,  and  touches  other  important 
phases  of  employment  besides  compensation.  By 
classifying  positions  in  terms  of  duties  and  qualifica- 
tions, it  lays  the  foundation  for  an  intelligent  handling 
of  the  problem  of  exemption  from  competition.  By 
ascribing  a  standard  title  to  each  grade  of  position,  it 
secures  the  important  practical  result  of  a  definite  and 
uniform  terminology.  By  specifying  the  duties  and 
qualifications  required  in  each  grade  of  position,  it 
provides  a  basis  for  devising  effective  entrance  and 
promotion  examinations,  for  the  conduct  of  training 
courses,  for  indicating  principal  lines  of  promotion,  for 
the  setting  of  suitable  standards  of  efhciency,  and  for  the 
regulation  of  advancement  and  promotion.  In  short,  a 
standardization,  though  designed  priinarily  to  adjust  the 
problem  of  compensation,  provides  the  basis  that  is 
needed  for  handling  most  of  the  practical  details  of 
public  employment  administration. 

43 


PUBLIC  PERSONNEL  ADMINISTRATION 

Experience  on  which  to  base  a  judgment  of  the  re- 
sults of  standardization  is  unfortunately  limited.  The 
state  and  municipal  governments  which  have  authorized 
a  standardization  of  employment  conditions  have  ap- 
plied, for  the  most  part,  the  standardization  only  in  a 
fragmentary  way.  The  experience  at  hand,  however, 
points  to  the  conclusion  that  a  scientific  standardization 
of  employment  conditions  accomplishes  the  purpose  for 
which  it  is  designed,  and  accordingly  achieves  results  of 
the  highest  value  to  all  the  parties  interested  in  public 
employment. 

Being  based  on  the  most  extensive  piece  of  work  of 
the  kind  as  yet  attempted,  the  summary  of  the  benefits 
of  standardization  contained  in  the  report  of  the  Con- 
gressional Joint  Commission  is  of  interest  in  this  con- 
nection. The  .benefits  of  a  standardization  of  public 
employment  accrue,  of  course,  to  three  principal  parties, 
namely,  the  government  as  employer,  the  employees  of 
the  government,  and  the  general  public.  With  special 
reference  to  the  circumstances  of  the  federal  service,  the 
Commission  summarizes  the  benefits  of  the  proposed 
standardization,  and  of  the  proposed  plan  for  its  futui'e 
administration,  as  follows :  ^ 

The  Congress  will  secure : 

A  sound  and  practical  working  basis  for  arriving  at  the 
proper  rates  of  compensation  in  appropriations  for  per- 
sonal services. 

The  assurance  that  on  this  basis  salaries  and  wages  will 
be  appropriate  at  the  same  rate  for  the  same  work  in 
all  departments  and  at  all  times. 

A  means  of  controlling  expenditures  for  personal  services 
paid  from  lump-sum  appropriations  or  contingent 
funds,  and  of  bringing  them  into  conformity  with  the 
basis  observed  in  itemized  appropriations. 

The  assurance  that  on  this  basis  the  salaries  appropriated 

^  Report  of  the  Congressional  Joint  Commission,  part  I,  p.  26. 

44 


STANDARDIZATION 

for  positions  of  different  classes  will  have  the  equitable 
relationship  that  is  called  for  by  the  difference  in  the 
values  of  the  work  involved  in  the  respective  classes. 

The  further  assurance  that  the  salaries  appropriated  on 
this  basis  will  be  fair  to  the  employee  and  to  the  public 
as  the  taxpayer. 

A  method  of  adjusting  salary  scales  from  time  to  time, 
as  required  and  justified  by  changes  in  economic  con- 
ditions, in  such  a  way  as  to  permit  of  discriminating 
application  of  increases  or  decreases  which  will  take 
into  account  the  relative  requirements  of  the  several 
kinds  of  employment  (as  against  the  arbitrary  spread- 
ing of  bonuses,  increases,  or  reductions  over  deserving 
and  undeserving  classes),  and  which  will  not  affect  the 
relative  status  of  employees  in  the  same  class. 

Assistance  in  the  consideration  of  estimates  through  the 
common  use  by  all  departments  of  a  specific  and  uni- 
form terminology  for  classes  of  positions,  i.e.,  kinds  of 
personal  service. 

A  means,  through  this  descriptive  system  of  nomencla- 
ture, of  comparing  the  organization  requirements  of 
different  departments  and  of  the  same  department  at 
different  periods. 

Relief  from  the  pressure  of  special  requests  for  changes 
in  the  salary  appropriations  for  individual  positions  or 
employees  or  for  special  groups  or  departments. 

The  Departments  will  secure: 

The  immediate  relief,  so  vital  to  the  holding  together  of 
the  experienced  departmental  organizations,  that  will 
come  from  the  adoption  of  revised  salary  scales  for 
specialized  workers  (particularly  scientific  and  tech- 
nical employees). 

Permanent  relief  from  the  confusion  resulting  from  the 
variations  in  salary  scales  for  the  same  work  in  dif- 
ferent departments,  with  the  consequent  tendency 
toward  interdepartmental  competition. 

A  means  of  expressing  their  exact  organization  needs  to 
the  appropriating  body — the  Congress — and  the  re- 
cruiting body — the  Civil  Service  Commission, 

All  of  the  direct  and  indirect  benefits  that  will  come  from 
a  fair  and  businesslike  wage  policy  and  a  contented 
personnel. 

45 


PUBLIC  PERSONNEL  ADMINISTRATION 

The  Employees  will  secure : 

Immediate  relief  in  cases  where  they  are  now  inade- 
quately paid. 

Uniform  justice  in  the  relation  between  the  compensation 
they  receive  and  the  value  of  their  work. 

The  assurance  that  all  other  employees  of  the  Govern- 
ment engaged  in  the  same  work  are  being  treated  in 
the  same  way. 

The  assurance  that  all  adjustments  of  pay  in  the  future 
will  have  reference  to  changes  in  living  costs. 

The  incentive  to  effort  that  comes  from  a  knowledge  of  an 
assured  reward  for  successful  accomplishment — ad- 
vance in  pay  for  increased  usefulness  in  the  same  class 
of  work  and  higher  compensation  upon  promotion  to  a 
higher  grade  of  work. 

The  Public  will  secure : 

The  assurance  that  its  Government  aims  to  be  a  model 
employer,  and  to  pay  each  employee  in  proportion  to 
the  value  of  the  work  required  of  him. 

This,  in  the  main,  may  be  taken  as  an  adequate  state- 
ment of  the  benefits  that  would  be  derived  from  a  proper 
standardization  of  employment  conditions  in  the 
national  service.  Whether  the  plan  is,  in  all  respects, 
the  most  practicable  one  for  securing  these  benefits  need 
not  be  determined  here.  Some  of  the  benefits  set  down 
as  accruing  to  Congress  might  be  thought  of  as  accruing 
in  equal  or  even  greater  measure  to  the  general  public. 
In  considering  the  benefits  to  the  departments,  the 
benefits  to  the  civil  service  commission  in  terms  of  in- 
creased administrative  facilities  should  not  be  over- 
looked. And  the  benefits  secured  to  the  public,  in  terms 
of  efficient  and  businesslike  service,  would  bulk  more 
largely  than  appears  in  the  foregoing  summary. 

The  results  achieved  through  a  standardization  of 

the  conditions  of  public  employment  fall  under  the  two 

principal  headings  of  economy  and  efficiency.     Some  of 

46 


STANDARDIZATION 

the  state  and  municipal  standardizations  have  effected 
a  saving  in  payroll  costs,  while  at  the  same  time  correct- 
ing many  cases  of  underpayment  of  individual  em- 
ployees. Whether  a  reduction  in  payroll  costs  can  be 
effected  depends  on  a  multitude  of  fluctuating  circum- 
stances. In  addition  to  its  bearing  on  economy  of 
government,  a  standardization  achieves  a  marked  im- 
provement in  efficiency.  By  prescribing  equitable  con- 
ditions of  employment,  and  by  laying  the  foundation  for 
a  uniform  and  business-like  handling  of  employment 
problems,  it  introduces  into  the  system  of  public  employ- 
ment in  various  direct  and  indirect  ways  a  higher  order 
of  morale  and  of  individual  and  group  efficiency. 
Adoption  of  Standardization.  The  adoption  of  a  stand- 
ardization of  the  conditions  of  public  employment  lies 
with  the  legislative  branch  of  the  government.  The 
formulation  of  a  scheme  of  standardization  covering 
the  employment  conditions  of  a  large  government  is  an 
undertaking  that  requires  considerable  experience  and 
technical  knowledge.  Such  schemes  of  standardization 
are  usually  formulated  by  a  committee,  appointed  for 
this  purpose  by  the  legislative  or  the  executive  branch 
of  the  government,  which  avails  itself  of  the  services  of 
outside  experts  experienced  in  government  and  employ- 
ment research.  After  a  scheme  of  standardization  has 
been  formulated  it  is  submitted  to  the  legislative  branch 
of  the  government  for  action.  The  standardization  as 
submitted  contains  a  classification  of  positions,  with 
schedules  of  compensation,  and  rules  providing  for  the 
future  administration  of  the  employment  system  on  the 
basis  of  the  standards  proposed. 

The  standardization,  after  it  has  been  adopted,  is 
applied  by,  or  under  the  direction  of,  the  civil  service 
commission. 

47 


■     PUBLIC  PERSONNEL  ADMINISTRATION 

Principal  Features  of  a  Standardization  Program.     The 

first  main  element  of  a  standardization  program  consists 
of  the  so-called  classification  of  the  various  employments 
or  positions.  Such  a  classification  distributes  all  the 
positions  in  the  service  according  to  a  principle  of  funda- 
mental use  in  personnel  administration.  This  may  be 
called  the  scientific  meaning.  It  should  be  carefully 
distinguished  from  several  other  senses  in  which  the 
word  is  used  in  civil  service  nomenclature.  As  indi- 
cated, legislative  bodies  are  said  to  "classify"  employ- 
ments in  the  sense  of  grouping  them  as  "classified"  and 
"unclassified."  This  is  indeed  an  act  of  classification, 
though  a  very  elementary  one.  The  so-called  "classified 
service,"  as  it  is  created  by  legislative  action  of  the  type 
referred  to,  is  far  from  being  classified  in  any  scientific 
sense,  or  in  any  sense  of  fundamental  value  in  personnel 
administration.  Furthermore,  civil  service  commissions 
are  said  to  classify  the  positions  within  their  jurisdiction 
in  the  sense  of  grouping  them  as  subject  to  examination 
or  as  exempt  from  examination.  This  again  is  a  sense 
of  the  word  "classification"  dififerent  from  the  one  in 
mind  in  the  following  paragraphs. 

A  scientific  classification,  as  a  part  of  a  standardiza- 
tion program,  groups  all  the  positions  of  a  system  of 
public  employment  on  the  basis  of  the  work  done  and  the 
qualifications  required  in  the  positions.  When  viewed 
from  the  standpoint  of  such  a  classification,  a  large 
system  of  employment  breaks  up  into  a  number  of 
divisions,  each  one  of  which  contains  further  sub- 
divisions. For  example,  the  national  civil  service,  as 
analyzed  by  the  Congressional  Joint  Commission, 
divides  into  three  general  groups,  44  services,  and  about 
1,700  classes  of  positions.  The  three  general  groups 
are  designated  as  ( i )  services  involving  clerical,  office, 

48 


'i 


STANDARDIZATION 

or  commercial  work;  (2)  services  involving  the  skilled 
trades,  manual  labor,  public  safety,  or  related  work;  and 
(3)  services  involving  scientific,  technical,  professional, 
or  subsidiary  work.  In  this  scheme  the  basic  unit  of 
the  classification  is  the  ''class."  A  class  is  defined  as  "a 
group  of  all  positions  which,  regardless  of  their  or- 
ganization connection,  or  location,  call  for  the  per- 
formance of  substantially  similar  duties  or  work  and 
involve  the  exercise  of  responsibilities  of  like  im- 
portance and  therefore  demand  substantially  the  same 
qualifications  on  the  part  of  incumbents,  and,  for  these 
reasons,  are  subject  to  common  treatment  in  the  selec- 
tion of  qualified  appointees  and  other  employment 
processes,  and  that  can  be  aptly  described  by  the  same 
title."  2 

The  report  of  the  New  York  Senate  Committee  on 
Civil  Service  for  1916  recommended  a  classification  of 
the  employments  of  the  state  that  followed  a  somewhat 
dififerent  method  of  grouping.  In  this  scheme  the  em- 
ployments are  divided  into  10  services,  157  groups,  and 
about  300  grades.  The  10  services  are  designated  as 
the  executive,  managerial,  clerical,  professional  and 
scientific,  educational,  investigational  and  examining, 
inspectional,  institutional,  skilled  labor,  and  labor.  The 
basic  unit  of  the  classification  is  here  designated  as  the 
"grade  of  work."  The  number  of  grades  of  work  is 
considerably  less  than  that  recognized  in  the  proposed 
national  classification,  but  of  course  the  service  of  the 
State  of  New  York  is  much  less  varied  than  that  in  the 
national  government. 

In  making  a  classification  of  public  employments, 
the  circumstance  of  chief  importance  is  that  the  classi- 
fication shall  be  based  on  the  work  done  and  the  qualifi- 
2  Ibid.,  p.  73- 

49 


PUBLIC  PERSONNEL  ADMINISTRATION 

cations  required  in  the  various  employments.  By  fol- 
lowing this  principle  a  great  advance  is  made  over  the 
old  method  of  grouping  employments  solely  with  refer- 
ence to  the  amount  of  compensation. 

The  principle  to  be  followed  in  determining  the  basic 
unit  of  the  classification,  and  therefore  the  number  of 
such  units  recognized,  is  indicated  by  the  requirement 
that  all  the  positions  included  within  a  single  unit  shall 
require  substantially  the  same  kind  of  work  and  the  same 
degree  of  responsibility,  substantially  the  same  qualifica- 
tions in  terms  of  training  and  experience,  and  deserve, 
on  the  basis  of  all  the  factors  to  be  taken  into  considera- 
tion, substantially  the  same  rate  of  compensation.  In 
the  interest  of  the  practicability  of  the  classification  as 
a  basis  of  employment  administration,  it  is  desirable  that 
the  number  of  unit  grades  of  positions  be  restricted  to 
the  lowest  figure  possible. 

Each  grade  of  position  is  assigned  an  appropriate 
standard  title.  In  the  work  of  the  Congressional  Joint 
Commission  it  was  found  that  about  105  different  titles 
are  being  used  to  designate  what  proved  on  examination 
to  be  a  single  class  of  position.  On  the  other  hand,  the 
Commission  found  that  one  blanket  title,  that  of  "Clerk, 
Class  I,"  is  used  to  designate  what  might  be  resolved 
into  97  varieties  of  positions.^ 

The  uniformity  of  terminology  brought  about  by  a 
scientific  classification  is  not  the  least  important  of  the 
contributions  which  it  makes  to  a  business-like  adminis- 
tration of  employment. 

The  second  principal  part  of  a  standardization  pro- 
gram consists  of  a  series  of  specifications  of  the  various 
grades  of  positions.     In  a  measure  the  specifications  re- 
sult directly  from  the  classification.     In  order  to  make 
^Ibid.,  p.  44. 

50 


STANDARDIZATION 

a  classification  it  is  necessary  to  agree  tentatively  at 
least  on  the  specification  of  the  duties  and  qualifications 
involved  in  each  position.  The  specification  of  each 
grade  of  position  as  worked  out  in  final  form  contains 
for  the  grade  in  question  (i)  a  standard  title,  (2)  a 
statement  of  duties,  (3)  a  statement  of  qualifications, 
and  (4)  a  range  of  compensation.  The  specifications 
may  also  contain  an  indication  of  the  principal  lines  of 
promotion  leading  to  and  from  the  position.  A  series 
of  such  specifications  covering  all  the  positions  of  the 
employment  system  is  the  immediate  working  basis  for 
progressive  employment  administration. 

The  following  examples  are  cited  from  the  Report  of 
the  Congressional  Joint  Commission.  They  are  speci- 
fications of  two  classes  of  positions,  Senior  Accountant, 
and  Head  Accountant. 

Title  of  Class: 

SENIOR  ACCOUNTANT 

Specifications  of  Class 
Duties : 

Under  general  supervision,  to  audit  cost  accounting 
records  in  connection  with  contracts;  to  organize  or  improve 
cost  systems  subject  to  approval;  to  compile  cost  statistics;  to 
investigate  accounting  methods ;  to  supervise  a  small  group 
engaged  in  similar  work;  and  to  perform  related  work  as 
required. 

Qualifications : 

Training  equivalent  to  that  represented  by  graduation  from 
high  school ;  not  less  than  four  years'  experience  as  senior  pub- 
lic accountant  or  in  a  responsible  position  in  the  accounting 
and  cost  department  of  a  large  industrial  establishment;  thor- 
ough knowledge  of  the  theory  and  practice  of  accounting;  and 
good  judgment. 

Principal  Lines  of  Promotion 
From :   Junior  Accountant. 
To :   Head  Accountant. 

51 


PUBLIC  PERSONNEL  ADMINISTRATION 

Compensation  for  Class 
Annual :  $2,400,  $2,520,  $2,640,  $2,760,  $2,880. 

Title  of  Class : 

HEAD  ACCOUNTANT 

Specifications  of  Class 
Duties : 

Under  general  supervision,  to  direct  large  office  or  field 
accounting  forces  engaged  in  maintaining  or  verifying  general 
or  cost  accounts  or  in  investigating  accounting  methods ;  to 
direct  the  disposition  of  individual  projects  or  groups  of 
projects  assigned  to  a  subdivision  for  accounting  supervision; 
to  furnish  expert  and  critical  advice  upon  cost  accounting 
policies,  systems,  and  procedure;  to  submit  analyses  of 
methods  of  operation  and  details  of  cost  bearing  on  quantity 
and  time  production;  and  to  perform  related  work  as  required. 

Qualifications : 

Training  equivalent  to  that  represented  by  graduation  from 
high  school;  not  less  than  seven  years'  practical  experience  as 
senior  accountant  in  public  accounting  work,  or  in  charge  of 
general  and  cost  accounting  work  for  a  large  industrial  estab- 
lishment; thorough  knowledge  of  the  theory  and  practice  of 
accounting;  administrative  ability  and  sound  judgment. 

Principal  Lines  of  Promotion 
From :    Senior  Accountant. 
To :   Assistant  Chief  Accountant. 

Compensation  for  Class 
Annual :  $3,000,  $3,240,  $3,480,  $3,720.* 

The  specification  of  the  grade  of  position  entitled 
Senior  Accountant  contained  in  the  report  of  the  New 
York  Senate  Committee  on  Civil  Service  for  1916  is  as 
follows : 

Title  of  Positions : 

SENIOR  ACCOUNTANT 
AUDITOR 

^  Ibid.,  part  II,  p.  58. 

52 


STANDARDIZATION 

Definition : 

The  duties  of  incumbents  of  these  positions  are  to  conduct 
independently,  audits,  examinations,  and  investigations  of 
major  importance,  and  to  report  thereon,  to  devise  and  install 
new  methods  of  accounting  procedure  of  complex  nature,  and 
to  give  critical  and  constructive  accounting  and  auditing  ad- 
vice of  a  high  order. 
Examples : 

Qualifications : 

Supervising  an  examination  of  a  public  utility  company. 
Persons  holding  these  positions  shall  have: 

1.  The  minimum  qualifications  prescribed  for  Grade  II. 

2.  Not  less  than  two  years  of  service  in  Grade  II,  or  if 
appointed  otherwise  than  by  promotion  from  Grade 
II,  at  least  two  years  of  experience  in  work  of  Grade 
II  character  and  standard. 

3.  Evidence  of  having  fulfilled  the  requirements  in  audit- 
ing and  accounting  theory  and  practice,  except  that  of 
experience,  set  by  the  Board  of  Regents  of  the  Uni- 
versity of  the  State  of  New  York,  for  a  certificate  to 
practice  as  a  Certified  Public  Accountant,  or  proof  of 
other  training  in  accounting  recognized  by  the  State 
Civil  Service  Commission  as  the  equivalent  thereof. 

4.  Such  additional  qualifications  as  may  be  required  by 
the  State  Civil  Service  Commission. 

Compensation : 

The  range  of  annual  compensation  of  this  Grade  for  full 
time  service  is  from  $2,340  to  $3,540,  inclusive,  with  stand- 
ard salary  rates  as  follows:  $2,340,  $2,580,  $2,820,  $3,060, 

$3,300.  $3,540._ 

Special  Regulation  Governing  Salary  Rates : 

The  entrance  and  other  salary  rates  of  positions  classified 
within  this  Grade  are  conditional  upon  appraisal,  under  the 
rules  of  the  State  Civil  Service  Commission,  indicating  that 
the  rates  to  be  designated  do  not  exceed  the  value  of  the  work 
to  be  performed.'^ 

The  statement  of  duties  affords  a  basis  for  adver- 
tising vacancies  in  the  civil  service,  for  planning  en- 

"  Report  of  the  New  York  Senate  Committee,  1916,  p.  yy, 

53 


PUBLIC  PERSONNEL  ADMINISTRATION 

trance  examinations,  for  the  conduct  of  training 
courses,  for  setting  and  enforcing  standards  of  effi- 
ciency, and  for  the  regulation  of  advancement  and  pro- 
motion. It  is  the  foundation  for  handling  most  of  the 
details  of  employment  administration. 

The  statement  of  qualifications  in  point  of  education 
and  experience  required  in  each  position  is  of  use  in  the 
processes  of  recruiting,  selection,  and  promotion.  It 
can  be  made  particularly  valuable  as  a  means  of  spread- 
ing information  concerning  the  opportunities  and  con- 
ditions of  promotion  in  the  civil  service. 

The  range  of  compensation  is  the  most  important 
item  in  the  specifications  of  each  grade  of  position.  A 
standardization  is  designed  primarily  to  remedy  irregu- 
larity and  inadequacy  of  rates  of  compensation. 

Compensation  in  public  employment  has  usually  been 
devoid  of  system.  There  has  never  been  an  exact  or 
logical  basis  for  fixing  salary  rates  or  titles  of  positions. 
Standards  of  compensation  for  particular  kinds  of  work 
as  a  basis  for  making  salary  appropriations  are  un- 
known. Positions  are  created  without  definition  of  work 
requirements.  There  is  great  diflference  in  compensa- 
tion with  respect  to  work  of  the  same  character  or 
grade.  Efficient  service  of  a  high  grade  in  many  in- 
stances receives  but  a  low  and  inadequate  rate  of  com- 
pensation, while  service  of  a  low  grade  in  an  equally 
large  number  of  cases  receives  a  large  and  excessive  rate 
of  compensation.  In  other  words,  compensation  bears 
little  reference  to  the  service  rendered. 

Appropriating  bodies  have  generally  not  attempted 
to  establish  a  close  correlation  between  pay  and  work 
requirements.  They  have,  instead,  established  artificial 
salary  grades  that  bear  no  relation  to  the  services 
rendered    in   the   various    positions.     These    artificial 

54 


STANDARDIZATION 

salary  grades  have  seriously  restricted  both  adminis- 
trative heads  and  civil  service  commissions,  in  the  at- 
tempt to  administer  public  employment  on  a  business- 
like basis.  A  standardization  of  salary  rates,  with  ex- 
plicit reference  to  the  work  performed  in  the  various 
positions,  removes,  therefore,  one  of  the  principal  handi- 
caps in  the  way  of  an  efficient  administration  of  public 
employment. 

The  specification  of  the  pay  of  each  grade  of  position 
indicates  a  range  of  compensation.  This  range  con- 
tains a  minimum  and  a  maximum  rate,  and  usually  one 
or  more  intermediate  rates.  The  minimum  rate  is  the 
one  at  which  the  incumbent  should  enter  the  grade  of 
w^ork  in  question.  This  plan  allows  for  advancement 
within  the  grade  on  the  basis  of  length  of  service  and 
increased  efficiency.  It  is  based  on  a  recognition  of  the 
fact  "that  in  many  cases  an  employee  enters  a  position 
with  relatively  little  experience,  and  that  through  appli- 
cation and  experience  over  a  considerable  period  of  time 
his  usefulness  increases  to  its  maximum  value.  Ad- 
vancement within  this  range  of  salary  from  the  mini- 
mum to  the  maximum  is  held  out  as  an  incentive  to 
efficient  service."  ^  Advances  in  salary  within  the  grade 
should  follov/  more  or  less  automatically  on  the  basis  of 
attainment  of  reasonable  standards  of  efficiency.  They 
should  be  distinguished  from  promotions  proper,  which 
involve  not  only  an  increase  in  salary  but  a  change  from 
one  grade  of  position  to  a  higher  grade  with  the  as- 
sumption of  new  duties  and  responsibilities. 

A  standardization  aims  to  fix  the  range  of  compensa- 
tion for  each  grade  of  work  at  figures  which  shall  be  fair 
and  adequate.     The  determination  of  a  fair  wage  is,  of 

8  New  York  City,  Bureau  of  Standards,  Standard  Specifications 
for  Personal  Service,  1916,  p.  17. 

55 


PUBLIC  PERSONNEL  ADMINISTRATION 

course,  a  point  on  which  it  is  impossible  to  reach  com- 
plete agreement.  Common  sense  indicates,  however, 
that  there  are  certain  factors  that  should  be  given  due 
consideration  in  determining  a  fair  rate  of  compensation 
for  public  employees.  These  factors  include  the  pre- 
vailing wage  for  similar  work  in  private  employment, 
the  present  cost  of  living,  the  qualifications  required  for 
the  work  in  terms  of  education  and  experience,  and  the 
difficulty,  unpleasantness,  or  dangers  involved  in  the 
work  in  question. 

Certain  of  the  peculiarities  of  public  employment 
enter  into  a  determination  of  a  fair  rate  of  compensa- 
tion. For  example,  the  high  degree  of  security  of  ten- 
ure generally  offered  in  the  public  service  may  be  con- 
sidered to  justify  a  somewhat  lower  rate  of  remunera- 
tion than  obtains  in  private  employment.  In  some  fields 
the  opportunity  to  attain  a  position  of  prestige,  or  to 
pursue  a  career  of  scientific  research,  may  also  be  con- 
sidered a  part  of  the  compensation.  On  the  other  hand 
some  of  the  conditions  of  public  employment  may  rightly 
be  thought  to  require  rates  of  compensation  in  excess  of 
those  prevailing  in  the  open  market.  Some  of  the  more 
highly  specialized  forms  of  public  service  have  no  exact 
counterpart  in  outside  employment.  Here  the  rate  of 
pay  prevailing  in  private  employment  offers  very  little 
guidance  as  to  the  value  of  the  service  rendered.  More- 
over, the  circumstance  that  public  employment  does  not, 
and  perhaps  never  will,  offer  an  opportunity  of  advance- 
ment to  positions  carrying  exceptionally  high  salaries, 
may  be  taken  to  justify  the  payment  of  rates  in  the  lower 
grades  somewhat  in  excess  of  those  prevailing  in  private 
employment. 

Conditions  in  regard  to  the  pay  of  employees  of  the 
national  government  have  been  summarized  as  follows : 

56 


STANDARDIZATION 

The  salary  and  wage  rates  for  positions  involving  like 
duties  and  responsibilities  and  calling  for  the  same  qualifica- 
tions— that  is,  for  positions  of  the  same  class — show  wide 
variations  and  marked  inequalities. 

The  salary  and  wage  rates  for  positions  in  the  same  class 
are  different  in  different  departments  and  independent  estab- 
lishments. The  scale  of  pay  in  some  departments  is  markedly 
higher  than  the  scale  for  the  same  class  of  work  in  other  de- 
partments. 

These  inequalities  in  salary  and  wage  scales  as  between  de- 
partments are  most  striking  when  the  rates  of  pay  in  the  war- 
expanded  establishments  are  contrasted  with  those  in  the  or- 
ganizations that  were  not  largely  increased  during  the  war. 

The  bonus  act  for  the  fiscal  year  ending  June  30,  1920, 
tends  in  many  cases  to  increase  the  inequality  for  positions 
in  the  same  class. 

Rates  of  compensation  in  the  government  service  as  a 
whole  have  not  increased  as  rapidly  as  has  the  cost  of  living 
according  to  official  statistics. 

The  amounts  of  recent  increases  in  rates  of  pay  in  the 
government  service  have  varied  greatly  (a)  as  between  classes 
of  employment,  and  (&)  as  between  departments. 

The  government  has  no  standard  to  guide  it  in  fixing  the 
pay  of  its  employees  and  no  working  plan  for  relating  the 
salaries  appropriate  to  the  character  and  importance  of  the 
work  for  which  such  salaries  are  to  be  paid,  and  the  designa- 
tions of  positions  now  appearing  in  the  Book  of  Estimates  are 
inaccurate  and  misleading. 

There  is  a  large  number  of  unnecessary  titles  of  positions 
contained  in  the  Book  of  Estimates  upon  which  appropriations 
are  based,  due  to  lack  of  definition  of  duties  of  positions.  This 
is  a  factor  in  causing  lack  of  uniformity  in  rates  of  pay. 

The  lack  of  standardization  in  rates  of  pay  may  be  largely 
accounted  for  by  the  unrestricted  freedom  allowed  in  the  ad- 
ministration of  lump-sum  appropriations  and  the  rigidity  of 
the  present  system  of  statutory  appropriations. 

The  present  method  of  fixing  the  salaries  of  employees 
upon  their  entrance  into  the  service  leads  to  inequality  in  the 
rates  of  pay  for  the  same  class  of  work  at  the  very  start. 

The  absence  of  any  uniform  plan  or  system  for  regulating 
increases  in  pay  of  employees  who  have  gained  experience  and 
usefulness  in  a  given  class  of  work,  and  the  even  more  serious 
lack  of  any  equitable  system  governing  promotion  from  lower 

57 


PUBLIC  PERSONNEL  ADMINISTRATION 

to  higher  classes  of  positions  have  been  very  large  factors  in 
causing  the  disproportion  between  pay  and  work. 

There  is  serious  discontent,  accompanied  by  an  excessive 
turnover  and  loss,  among  the  best  trained  and  most  efficient 
employees.  The  morale  has  been  impaired.  The  national  serv- 
ice has  become  unattractive  to  a  desirable  type  of  technical 
employee.  The  government  has  put  itself  in  the  position  of 
wasting  funds  on  the  one  hand,  and  doing  serious  injustice 
to  individuals  on  the  other,  and  of  failing  to  get  that  degree 
of  efficiency  in  administration  that  a  more  equitable  and  uni- 
form wage  policy  would  bring  about.^ 

Plainly  these  conditions  call  for  an  upward  revision 
in  rates  of  compensation.  The  Commission  estimated 
that  the  schedules  of  compensation  recommended  by  it 
would  entail  an  increase  of  approximately  8.5  per  cent 
over  the  present  pay,  including  the  bonus. ^  The  in- 
crease in  the  case  of  some  positions  runs  as  high  as  30 
or  40  per  cent. 

Some  of  the  state  and  municipal  standardizations 
have  effected  a  net  reduction  in  payroll  costs.  Whether 
a  reduction  should  be  undertaken  at  the  present  time  may 
be  doubted.  The  justification  of  a  standardization  of 
public  employment  conditions  must  be  looked  for  not  so 
much  in  any  direct  saving  in  the  cost  of  personal  service 
as  in  the  indirect  saving  effected  through  improvement 
in  morale  and  efficiency.  Economy  often  takes  the  form 
of  better  service  for  the  same  expenditure. 

In  addition  to  fixing  rates  of  pay  that  are  intended 
to  be  fair  and  adequate,  a  standardization  insures  equal 
pay  for  equal  work  throughout  the  entire  service. 
Under  existing  circumstances  employees  doing  similar 
work  in  different  departments,  or  even  in  the  same  de- 
partment,   frequently    receive    substantially    different 

^  Report  of  the  Congressional  Joint  Commission,  part  I,  pp.  31-60. 
^  Ibid.,  p.  II. 

58 


STANDARDIZATION 

rates  of  compensation.  By  remedying  this  condition,  a 
standardization  accomplishes  a  fundamental  improve- 
ment in  the  morale  of  the  service  and  lays  the  founda- 
tion for  handling  the  problems  of  personnel  administra- 
tion in  a  business-like  manner. 

A  standardization  of  public  employment  conditions, 
in  order  to  be  complete,  should  embody  a  definite  policy 
on  the  subject  of  retirement.  Few  American  govern- 
ments have  adopted  an  adequate  retirement  system. 
The  need  of  a  retirement  system  for  public  employees 
results  in  large  part  from  the  relatively  high  degree  of 
security  of  tenure  which  prevails  in  public  employment. 
This  security  of  tenure  is  in  itself  a  necessary  feature  of 
the  public  employment  system.  Restrictions  surround- 
ing appointment  and  removal  must  be  placed  on  adminis- 
trative officers.  One  consequence  of  this  fact  is  that 
employees,  once  in  the  public  service,  tend  to  remain 
there  after  the  period  of  their  usefulness  has  elapsed. 
Administrative  heads  have  little  incentive  for  removing 
them.  Moreover,  humanitarian  considerations  often 
dictate  that  disabled  or  superannuated  employees  shall 
be  carried  on  the  payroll.  They  frequently  are  retained 
in  the  service  as  long  as  they  are  able  to  fulfill  the  mini- 
mum requirements  of  attendance.  The  government  in 
this  way  more  than  pays  the  cost  of  a  sound  system  of 
retirement  by  carrying  a  large  element  of  "dead  wood" 
on  the  payroll,  and  incidentally  perpetuates  a  condition 
that  is  destructive  of  the  morale  and  efficiency  of  the 
service. 

The  objects  to  be  accomplished  by  a  system  of  retire- 
ment concern  three  parties,  namely,  the  government  as 
an  employer,  the  employees  of  the  government,  and  the 
general  public.  A  system  of  retirement  should  conserve 
the  interests  of  each  of  these  principal  parties. 

59 


PUBLIC  PERSONNEL  ADMINISTRATION 

Lewis  Meriam,  who  has  made  a  thorough  study  of 
this  subject,  writes  as  follows:^ 

The  objects  which  the  government  seeks  to  attain  through 
the  estabhshment  of  a  retirement  system  may  be  briefly 
enumerated  as  follows :  ( i )  the  elimination  from  its  active 
force  of  those  who  have  lost  their  efficiency  because  of  advanc- 
ing age  or  long  service;  (2)  the  elimination  of  those  who 
have  lost  their  efficiency  in  earlier  life  because  of  accident  or 
disease;  (3)  the  improvement  of  the  morale  of  the  remainder; 
(4)  the  retention  in  the  service  of  the  best  of  its  present  em- 
ployees; many  of  whom  in  the  absence  of  such  a  system  resign 
to  accept  positions  elsewhere;  and  (5)  the  attraction  to  the 
service  of  a  higher  grade  of  men.  These  objects,  which  are 
closely  interrelated  and  may  properly  be  included  under  the 
one  head,  the  improvement  of  the  personnel,  require  separate 
consideration. 

Concerning  the  interests  of  public  employees  in  a 
system  of  retirement,  Mr.  Meriam  further  points  out 
that 

two  distinct  classes  must  be  distinguished  at  the  outset:  (i) 
those  who  are  already  in  the  service  and  (2)  those  who  will 
enter  after  the  system  is  in  operation.  The  interests  of  the 
two  classes  are  radically  different.  ...  To  the  oldest  of  the 
present  employees  the  establishment  of  a  retirement  system 
by  the  government  appeals  as  an  act  of  grace,  a  benevolent 
award  of  just  deserts  for  long  and  faithful  service.  ...  To 
future  entrants  the  system  does  not  appeal  as  an  act  of  grace; 
it  is  regarded  as  one  of  the  inducements  to  enter  the  service 
and  the  prospective  benefits  are  considered  part  of  the  com- 
pensation earned  by  services  rendered.^" 

The  advantage  that  the  general  public  derives  from 
a  sound  system  for  the  retirement  of  public  employees 
consists  primarily  in  the  improvement  effected  in  the 
morale  and  efficiency  of  the  government  service.     There 

^MerisLin,  Principles  Governing  Retirement  of  Public  Employees, 
1918,  p.  3. 

^^Ibid.,  p.  17. 

60 


STANDARDIZATION 

is  an  additional  advantage  to  the  public  in  that  a  prop- 
erly conceived  plan  for  the  retirement  of  government  em- 
ployees becomes  a  valuable  system  of  social  insurance. 

A  standardization  of  the  conditions  of  public  em- 
ployment facilitates,  in  an  important  way,  the  work  of 
the  agency  responsible  for  estimates  of  government  ex- 
penditures. The  budget-making  agency  must  estimate 
the  payroll  needs  of  the  various  government  depart- 
ments. Without  a  standardization  of  public  employ- 
ment conditions,  it  has  little  to  guide  it  in  making  up 
estimates  of  the  cost  of  personal  service.  On  the  basis 
of  standard  schedules  of  compensation,  that  agency  is 
enabled  to  approach  intelligently  the  problem  of  esti- 
mates for  personal  service,  and  to  formulate  estimates 
that  are  fair  both  to  the  tax-paying  public  and  to  public 
employees.  The  work  to  be  done  in  a  given  department 
having  been  determined,  a  sum  estimated  to  be  adequate 
to  cover  the  payroll  costs  should  be  appropriated  with- 
out restrictions  as  to  the  exact  number  of  employees 
needed  or  the  particular  salaries  to  be  paid  to  individual 
employees.  The  officer  responsible  for  the  administra- 
tion of  the  department  should  be  allowed  considerable 
latitude  in  determining  the  number  and  grade  of  posi- 
tions to  be  filled. 

A  standardization  of  public  employment  usually  re- 
veals the  need  and  opportunity  for  the  abolishment  of 
unnecessary  positions  and  the  reorganization  of  govern- 
ment departments.  The  carrying  out  of  a  reorganization 
of  departments,  with  the  consequent  abolishment  of  old 
positions  and  the  creation  of  new  ones,  is  not  ordinarily 
conceived  to  be  a  part  of  the  work  of  standardization 
proper.  A  standardization  confines  itself  more  or  less 
closely  to  the  establishment  of  uniform  and  equitable 
conditions  within  the  existing  system  of  employment.    It 

6i 


PUBLIC  PERSONNEL  ADMINISTRATION 

does  not  undertake  to  determine  what  work  shall  be  done 
by  the  various  departments  or  what  organization  and 
procedure  are  best  suited  to  accomplish  this  work.  A 
standardization  does,  however,  develop  valuable  in- 
formation on  these  subjects,  and  this  information  should 
be  made  available  to  the  agency  that  is  best  able  to 
apply  it. 

An  agency  authorized  to  study  and  control  effi- 
ciency and  economy  should  be  a  part  of  every  govern- 
ment. The  need  of  such  an  agency,  whether  permanent 
or  temporary,  in  the  case  of  the  national  government  has 
recently  received  general  recognition.  It  has  been 
summed  up  in  the  statement  of  former  Secretary  Lane  to 
the  effect  that  ''Washington  is  poorly  organized  for  the 
task  that  belongs  to  it."  What  is  true  of  Washington 
is  doubtless  true  to  a  still  greater  extent  of  many  state 
and  municipal  governments.  An  agency  is  needed  in 
connection  with  every  government  which  has  the  power 
to  eliminate  unnecessary  positions,  to  devise  and  install 
efficient  methods  of  procedure,  and  to  reorganize  and 
consolidate  departments  on  the  basis  of  the  functions 
performed. 

Current  Revision  of  Standards.  Standards  once  adopted 
should  not  remain  stationary.  They  should  be  re- 
vised from  time  to  time  in  order  to  meet  changes  in 
the  requirements  of  the  service  as  well  as  changes  in 
the  circumstances  surrounding  public  employment. 

The  basic  standards  can  be  changed  only  by  legis- 
lative action.  An  agency  should  be  authorized,  how- 
ever, to  study  the  need  of  changes  in  the  standards  of 
employment,  and  to  recommend  such  changes  periodi- 
cally to  the  legislative  branch  of  the  government.  The 
civil  service  commission  would  appear  to  be  best  quali- 
fied to  perform  this  duty,  at  least  so  far  as  concerns 

62 


STANDARDIZATION 

most  of  the  standards  involved.  Whether  the  civil 
service  commission  should  be  allowed  to  have  final  con- 
trol over  recommendations  of  changes  in  the  schedules 
of  compensation  may  be  questioned.  In  a  large  govern- 
ment, particularly  in  the  national  government,  the  re- 
vision of  schedules  of  compensation  presents  a  financial 
and  political  problem  of  great  importance.  The  recom- 
mendation of  new  schedules  of  compensation  in  this 
case  should  be  under  the  immediate  control  of  the 
budget-making  agency  of  the  government.  The  rec- 
ommendation of  changes  in  other  employment  stand- 
ards may  well  be  placed  under  the  supervision  of  the 
civil  service  commission. 

Apart  from  the  need  of  the  periodical  revision  of 
rates  of  compensation,  there  exists  a  need  of  current  re- 
vision of  titles,  of  definitions  of  duties  and  of  the  cor- 
responding standards  of  efficiency,  of  statements  of 
qualifications  required  and  of  the  conditions  controlling 
promotion.  The  civil  service  commission  should  rec- 
ommend periodically  such  changes  in  these  features  of 
the  standardization  as  are  needed  to  keep  the  standard- 
ization up  to  date  and  to  make  it  a  useful  instrument 
of  administration. 

Enforcement  of  Standards.  The  mere  enactment  of  a 
standardization  of  public  employment  conditions  w^U 
not  in  itself  accomplish  results  of  practical  importance. 
To  achieve  important  results,  the  standardization  must 
be  conscientiously  enforced.  The  civil  service  commis- 
sion has  the  duty  of  enforcing  the  employment 
standards. 

The  original  enforcement  of  new  standards  involves 
the  allocation  of  existing  positions  to  the  proper  grades 
within  the  classification,  with  a  consequent  adjustment 
of  salaries  according  to  the  new  schedules.     In  cases  in 

63 


PUBLIC  PERSONNEL  ADMINISTRATION 

which  there  has  been  a  downward  revision  of  the  rate 
of  pay,  the  transition  from  the  old  to  the  new  basis  of 
employment  should  be  made  in  such  a  manner  as  to 
work  as  little  hardship  on  individual  employees  as  pos- 
sible. In  this  case,  it  is  sometimes  advisable  to  make 
the  transition  to  the  new  schedule  only  as  new  em- 
ployees are  recruited.  Where  there  has  been  an  in- 
crease in  the  rate  of  pay,  present  employees  should  be 
given  the  benefit  of  the  increase  immediately,  as  repre- 
sented by  the  appropriate  rate  within  the  grade  of 
position  occupied. 

The  current  enforcement  of  a  standardization  in- 
volves all  the  manifold  details  of  employment  adminis- 
tration. It  involves  the  recruiting  and  selection  of 
employees  on  the  basis  of  the  standards  adopted,  the 
training  of  employees,  the  setting  of  suitable  standards 
of  efficiency,  the  supervision  of  advancement  and  pro- 
motion, the  maintenance  of  discipline,  and  the  en- 
couragement of  a  spirit  of  cooperation.  As  the  agency 
responsible  for  the  enforcement  of  standards  the  civil 
service  commission  must  maintain  an  attitude  of  super- 
vision and  control  toward  both  department  heads  and 
public  employees.  This  control  should  be  exercised  in 
such  a  way  as  to  make  the  standardization  not  so  much 
a  basis  of  restrictions  as  a  basis  of  constructive  effort 
and  development. 


CHAPTER  V 

THE  CONDUCT  OF  A  STANDARDIZATION 

INQUIRY 

The  fundamental  principles  underlying  the  classifi- 
cation of  public  employments  and  the  gradation  of 
salaries  have  been  defined  and  its  objects  stated.  The 
extent  to  which  these  principles  have  been  ignored  in 
the  development  of  civil  service  regulations  and  practice 
has  been  pointed  out.  The  adoption  of  a  new  classifi- 
cation, based  upon  the  principles  outlined,  has  been 
shown  to  be  fundamental  to  any  positive  reform  in  em- 
ployment methods.  The  present  chapter  is  concerned 
with  the  more  important  points  to  be  observed  in  the 
conduct  of  a  standardization  inquiry. 
The  Need  for  a  Special  Staff.  Constructive  reorgani- 
zation of  the  system  of  employment  management  can  be 
achieved  only  through  a  thorough  inquiry  with  special 
facilities  for  an  intelligent  handling  of  the  subject.  The 
employment  problems  of  a  large  public  enterprise  are 
bound  up  with  the  intricacies  of  administration.  Their 
solution  involves  investigation  of  a  complex  nature.  In- 
formation of  a  varied  character  and  voluminous  detail 
must  be  collected  and  interpreted.  Each  distinctive 
employment  or  group  of  employments  must  be  analyzed. 
Conditions  of  private  employment  must  be  ascertained. 
The  costs  of  living  must  be  determined.  A  system  of 
examining  and  rating  individual  efficiency,  control,  and 
discipline  must  be  considered.  The  legal  status  of  the 
existing  system  must  be  determined,   which   requires 

65 


PUBLIC  PERSONNEL  ADMINISTRATION 

familiarity  with  public  law  and  public  administration. 
A  standardization,  moreover,  affects  all  classes  of  em- 
ployees. Its  benefits  both  to  the  government  and  the 
employees  must  be  carefully  set  forth  so  as  to  obtain 
the  cooperation  of  the  official  and  unofficial  agencies. 

Methods  of  classification  and  distinct  technical  proc- 
esses have  been  developed  in  the  standardization  in- 
quiries that  have  already  been  conducted.  Although 
little  more  than  a  beginning  has  been  made,  the  plans 
and  procedure  for  employment  control  are,  in  some 
respects,  more  advanced  than  generally  obtain  in  pro- 
gressive practice.  In  starting  any  new  inquiry,  there- 
fore, provision  should  be  made  for  profiting  from  the 
experience  of  the  earlier  work  in  this  field,  and  this  can 
generally  be  done  best  by  retaining  a  special  directing 
staff  with  some  experience  in  this  special  field. 

The  number  and  qualifications  of  the  directing  stafif 
and  the  specially  qualified  assistants  will  depend  upon 
the  size  of  the  government,  the  variety  of  its  employ- 
ments, the  extent  to  which  employment  conditions  have 
factors  that  affect  employment  problems.  Whatever 
the  exact  conditions,  the  first  requisite  is  for  an  ex- 
perienced, well  qualified  directing  staff,^ 

1  Special  staffs  were  organized  in  several  American  cities,  notably 
in  New  York,  Chicago,  Milwaukee,  Pittsburgh,  Portland  (Ore.),  and 
Los  Angeles;  in  the  states  of  New  York,  Wisconsin,  Ohio,  and  New 
Jersey;  and  in  the  national  government.  The  results  of  these  in- 
vestigations are  valuable  from  two  aspects,  the  immediate  and  the  sec- 
ondary. The  immediate  value  lies  in  the  results  secured  through  the 
attempts  of  states  and  cities  to  apply  these  standards  as  a  means  of 
improving  conditions.  The  secondary  value  lies  in  the  scientific  work 
extending  over  the  last  twelve  years,  representing  a  series  of  experi- 
ments undertaken  for  the  purpose  of  formulating  sound  principles  of 
classification  and  the  establishing  of  standard  rates  of  pay. 

The  purpose  and  methods  of  a  standardization  inquiry  are  sum- 
marized in  the  report  of  the  Congressional  Joint  Commission.  Chap-- 
ter  VII  of  that  report  is,  in  effect,  a  manual  of  procedure  of  appli- 
cation to  any  government  employing  a  large  personnel. 

66 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

Ex-officio  Staff  Assistant  and  Leadership  Inadequate. 

Investigations  of  large  and  representative  governments, 
with  ex-officio  committees  and  part-time  assistance  have 
proved  futile.  The  task  is  so  large  and  complex  that 
without  competent  leadership  and  specialized  staff  as- 
sistance on  a  full-time  basis,  too  little  emphasis  is  placed 
on  the  importance  of  the  task  and  superficial  treatment 
is  the  result.  Finally,  unless  the  inquiry  is  given  in- 
dependent status  and  sanction,  there  is  no  assurance  that 
the  program  will  be  adopted  and  its  principles  followed 
up. 

Legal  Status  of  Standardization  Agency.  In  some  juris- 
dictions, notably  the  national  government  and  New 
York  State,  the  legislative  body  has  directed  the  inquiry. 
In  other  jurisdictions,  such  as  Chicago,  it  has  been  con- 
ducted under  executive  auspices.  Theoretically,  the  lat- 
ter would  seem  to  be  the  correct  practice.  Political  con- 
siderations, however,  might  offset  the  theoretical  ad- 
vantages of  an  executive  inquiry. 

The  enforcement  of  standards  governing  rates  of 
pay  and  other  conditions  of  employment  is  obviously  a 
problem  of  current  administration.  It  is  an  under- 
taking for  which  the  executive  branch  of  the  govern- 
ment alone  can  be  held  accountable.  No  set  of  rules 
and  regulations  can  be  made  binding  on  a  political  body. 
For  the  purely  ministerial  features  of  rule  enforcement, 
a  legislative  body  cannot  be  reached  by  mandamus. 
Furthermore,  where  discretion  is  involved  in  rule  inter- 
pretation and  enforcement — and  the  efficacy  of  employ- 
ment standards  depends  upon  the  exercise  of  discretion 
in  their  adjustment  to  varying  conditions — a  political 
body  is  influenced  primarily  by  political  considerations. 
The  administration  of  rules  shr^uld  b«  in  the  hands  of 
officers  who  can  be  reached  by  mandamus,  or  who  can 


PUBLIC  PERSONNEL  ADMINISTRATION 

be  effectively  and  promptly  disciplined  or  removed  for 
failure  to  adhere  to  established  practice  and  procedure. 
This  is  a  cardinal  principle  of  government. 

The  development  of  standards  must  be  predicated 
upon  the  information  and  experience  that  the  executive 
and  his  subordinates,  who  are  in  constant  touch  with 
the  detailed  needs  of  the  service,  alone  possess. 

Furthermore,  the  information  and  experience  thus 
developed  are  important  factors  in  the  enforcement  of 
the  new  regulations.  They  furnish  background  for 
their  application.  One  of  the  primary  purposes  of  a 
standardization  inquiry  is  to  furnish  a  basis  for  new 
provisions  of  administrative  law.  To  this  extent  it  is 
a  legislative  responsibility.  But  this  responsibility  of 
the  legislature  is  not  inconsistent  with  the  responsibility 
of  the  executive  under  approved  theories  of  manage- 
ment, to  initiate  proposals  as  to  administrative  needs. 
The  committee  system,  with  adequate  facility  for  hear- 
ing, investigation,  and  discussion,  enables  the  legislature 
to  reach  independent  judgment  as  to  the  soundness  of 
the  executive's  proposals.  Members  of  the  legislature 
should  be  invited  to  review  the  progress  of  the  inquiry 
from  time  to  time.  Indeed,  every  facility  for  keeping  in 
touch  with  the  work  should  be  furnished  in  order  that 
they  may  be  put  in  a  position  to  judge  and  appraise  the 
proposals  made  at  the  time  they  are  presented  in  the 
form  of  suggested  legislation. 

Cooperation  of  all  Factors  Essential.  The  first  step  in 
the  development  of  any  program  which  so  vitally  affects 
the  living  and  working  relations  of  a  large  and  repre- 
sentative number  of  the  community,  is  to  develop  an  in- 
telligent public  opinion  as  well  as  a  basis  for  sympathetic 
cooperation  with  those  to  be  so  affected.  Constructive 
publicity  will  furnish  the  most  effective  means  at  the 

68 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

outset  for  developing  this  opinion  and  cooperation. 
Statements  released  to  the  press  and  circulars  dis- 
tributed among-  employees  as  well  as  interested  citizens 
should  outline  the  scope  and  objects  of  the  inquiry,  the 
general  plan  of  investigation,  and  concretely  specify  the 
policy  to  be  adhered  to  in  the  conduct  of  the  inquiry,  in- 
dicating the  advantages  to  be  gained.  It  should  be  made 
clear  to  both  the  public  and  the  employees  that  the  in- 
quiry will  be  conducted  along  broad  and  impersonal 
lines ;  that  it  wiU  be  fair  and  thorough. 

Experience  shows  that  there  is  danger  that  the  whole 
movement  will  be  misunderstood  because  of  the  use  of 
the  data  collected  for  purposes  other  than  standardiza- 
tion proper.  This  has  caused  civil  servants  in  city  and 
state  governments"  to  feel  that  greater  protection  is 
afforded  by  the  organizations  through  which  existing 
iniquities  have  been  produced  than  by  cooperation  with 
those  who  are  seeking  to  ''standardize."  This  has 
arisen  from  a  somewhat  natural  extension  of  the  work 
of  "standardization"  to  include  certain  tasks  of  "budget 
making"  on  the  one  hand  and  tasks  of  "administration" 
on  the  other. 

A  standardization  study  is  essentially  a  problem  of 
coordinating  and  controlling  examination  and  investiga- 
tion work.  The  study  progresses  in  several  distinct 
stages,  and  the  prompt  completion  of  one  is  essential  to 
an  intelligent  consideration  of  the  next.  For  example, 
complete  information  as  to  each  employment  must  be 
developed  according  to  standard  form,  and  distributed 
and  classified  in  various  ways  before  the  problem  of  pre- 
paring specifications  for  each  line  of  employment  can 

2  Fortunately  the  employees  of  the  national  government,  generally, 
have  expressed  real  sympathy  with  the  standardization  and  classifi- 
cation work  recently  completed  by  the  Joint  Congressional  Commis- 
sion. 

69 


PUBLIC  PERSONNEL  ADMINISTRATION 

be  approached.  Likewise,  prevailing  rates  of  wages 
must  be  determined  before  a  tentative  gradation  of 
salaries  and  wages  can  be  set  up  on  the  basis  of  duties. 

The  collection  and  interpretation  of  information,  as 
a  basis  for  new  standards,  is  a  task  of  great  magnitude. 
The  staff  agency  is  not  equipped  to  perform  all  the 
routine  work  independently.  It  is  essential,  too,  that 
other  points  of  view  should  be  reflected  on  the  problem. 
The  staff  agency  should  devote  itself  primarily  to  veri- 
fying and  interpreting  the  data  that  are  independently 
developed  through  other  agencies.  The  facilities  for 
cooperation  in  the  collection  of  data  include  those  af- 
forded by: 

The  executive  departments  and  offices. 

The  civil  service  commissions  as  the  board  of 
employment  control. 

Local  citizen  research  agencies. 

Private  employers. 

Other  governments  and  research  agencies. 

Special  citizen  advisory  groups. 
Facilities  Afforded  by  the  Executive  Departments.  The 
officers  and  employees  of  the  several  departments  under 
investigation  represent  the  most  important  facilities  for 
cooperation.  They  are  in  a  position  to  describe  and 
interpret  accurately  existing  conditions.  They  are 
equipped  to  review  and  certify  information  on  employ- 
ment conditions  to  the  special  staff.  It  is  important, 
therefore,  that  the  cooperation  of  these  agencies  be  es- 
tablished in  such  a  way  as  to  charge  each  department 
with  independent  responsibility  for  assistance.  A  de- 
partmental representative  should  be  designated  who  will 
work  constantly  with  the  standardizing  agency. 

Departmental  conferences  of  the  formally  desig- 
nated "representatives"   and  other  officers   should  be 

70 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

held.  This  brings  the  special  staff  into  touch  with  those 
persons  in  the  government  upon  whom  will  fall  the  re- 
sponsibility for  furnishing  a  large  amount  of  the  in- 
formation. Conferences  furnish  a  means  for  estab- 
lishing cooperation  on  a  sound  basis  and  define  the 
working  methods  to  be  followed.  The  scope  of  these 
conferences  might  be  outlined  as  follows: 

General  discussion  of  problem  and  program  with 
special  emphasis  on 

The  need  for  inquiry. 

The  benefits  to  accrue  to  the  government  and 
to  the  employees. 

The  need  for  capable  and  continuous  assist- 
ance from  departments. 
Definite  work  methods  in  relation  to 

Preparation  of  work  records. 

Review  and  revision  of  work  records. 

Field  notes. 

Organization  reports. 

Preparation  of  classification  (a  future  step). 

Preparation  of  specifications  (a  future  step). 
The  ofiicial  representatives  become  the  spokesmen 
of  the  employees.  They,  themselves,  are  vitally  con- 
cerned. The  conference  furnishes  a  forum  of  discus- 
sion that  enables  the  standardization  agency  to  discover 
the  elements  of  antagonism  and  hostility  to  the  program. 
It  leads  to  criticisms,  some  of  which  will  be  found  un- 
sound ;  others,  well  founded ;  and  it  enables  the  standard- 
ization agency  to  readjust  the  plan  of  inquiry  to  any  new 
conditions  presented.  The  most  important  benefit  of 
these  conferences  is  the  assurance  to  the  officers  and 
employees  that  they  will  participate  in  the  formulation 
of  the  new  system  of  employment  regulation.  They 
furnish  a  means  of  oral  instruction  to  the  departmental 

71 


PUBLIC  PERSONNEL  ADMINISTRATION 

representatives  as  a  group.  This  is  desirable,  for  it 
raises  numerous  questions  as  to  the  details  of  the  pro- 
cedure which,  in  the  aggregate,  become  important  to 
the  final  result. 

Facilities  Afforded  by  Civil  Service  Commission.  The 
basic  features  of  classification,  as  pointed  out  in  Chapter 
IV  include  the  following: 

Standard  duties. 

Standard  grades  and  rates  of  pay. 

Standard  titles. 

Standard  qualifications  as  a  basis  for  admis- 
sion to  the  service. 

Standard  qualifications  as  a  basis  for  promo- 
tion. 

Standard  regulations  governing  salary  in- 
creases. 

The  development  of  these  standards  must  be  predi- 
cated upon  the  experience  of  the  civil  service  commis- 
sion in  recruiting,  advancing,  and  promoting  employees 
under  various  conditions.  Its  opinion  shguld  be  re- 
flected upon  all  important  questions.  Cooperation 
with  the  civil  service  commission  is  necessary  in  order 
to  insure  that  the  grades  and  rates  of  compensation  and 
the  rules  and  regulations  for  their  enforcement  will  be 
adapted  to  scientific  recruiting  and  employment 
methods.  The  rate  of  salary  or  wage  determines,  to  a 
large  extent,  the  type  of  person  who  can  be  recruited. 
Particularly  is  this  true  of  the  public  service,  where  a 
somewhat  artificial  examination  is  the  basis  for  a  com- 
petitive appointment.  Control  over  the  conditions  for 
salary  increase — a  matter  of  fiscal  or  legislative  control 
— must  be  coordinated  with  the  administrative  arrange- 
ment, for  designating  who  shall  be  increased.     The  civil 

72 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

service  commission,  in  effect,  conducted  the  standardiza- 
tion inquiry  for  Chicago.  Its  responsibility  as  the  em- 
ployment board  of  control  explains  the  thoroughness 
and  dispatch  with  which  the  inquiry  was  conducted.  It 
explains,  too,  the  accuracy  of  its  conclusions,  and,  de- 
spite the  limitations  in  the  matter  of  classification,  the 
direct  and  tangible  results  that  accrued. 
Facilities  Afforded  by  Local  Citizen  Research  Agencies. 

Almost  every  large  community  has  research  bureaus  or 
other  civic  agencies  that  are  equipped  to  assist  the  local 
government  on  problems  of  personal  and  civil  service. 
A  bureau  of  municipal  research  is  organized  for  techni- 
cal assistance  and  can  greatly  assist  in  the  collection, 
classification,  and  interpretation  of  data  as  to  employ- 
ment conditions.  Such  an  agency  represents  an  inde- 
pendent and  impersonal  viewpoint,  and  sometimes  gives 
assurance  to  the  community  that  the  investigations  are 
free  from  political  influences.  Agencies,  such  as 
chambers  of  commerce,  that  are  not  equipped  to  render 
technical  service  in  this  field,  are  valuable  for  propa- 
ganda and  publicity  purposes.  An  attempt  to  secure 
the  adoption  of  new  standards  necessarily  arouses  the 
opposition  of  reactionaries,  and  too  often  fails  to  secure 
the  approval  of  the  progressives.  This  means  that  a 
campaign  has  to  be  carried  on  in  the  community  for  the 
purpose  of  developing  public  opinion  sufficiently  strong 
to  secure  the  ratification  of  the  program. 

Civic  agencies,  particularly  bureaus  of  municipal  re- 
search, have  assisted  in  the  standardization  and  civil 
service  studies  of  New  York  City,  Pittsburgh,  Mil- 
waukee, Rochester,  and  New  York  State.  Indeed,  these 
inquiries  have  been  undertaken  largely  through  their 
initiative.  Continuous  cooperation  with  the  ofhcial 
agencies  has  continued  throughout  the  investigations. 

73 


PUBLIC  PERSONNEL  ADMINISTRATION 

Facilities  Afforded  by  Private  Employers.  It  is  recog- 
nized that  certain  private  enterprises  have  introduced 
up-to-date  methods  of  employment  control.  Local 
private  practice  necessarily  establishes  the  prevailing 
rates  of  pay  for  most  lines  of  work.  The  facilities  for 
determining  the  prevailing  rates  of  pay  should  be  sought. 
The  contemporary  opinion  of  representative  employers 
should  be  reflected  on  problems  of  appointment,  pro- 
motion, and  retirement. 

Facilities  of  Other  Governments  and  Outside  Research 
Agencies.  The  state,  county,  and  city  governments 
that  have  made  special  studies  of  this  problem  have  de- 
veloped scientific  materials  of  large  value.  The  co- 
operation of  these  governments  and  the  various  citizen 
agencies  that  have  worked  in  conjunction  with  them, 
should  be  sought  for  the  purpose  of  utilizing  the  results 
and  materials  of  their  investigations. 
Special  Citizen  Advisory  Groups.  Specialists  in  vari- 
ous occupations,  such  as  engineering,  law,  medicine, 
social  investigation,  and  accounting,  are  equipped  to 
furnish  technical  assistance  and  advice  on  subjects  of 
qualifications,  experience,  rates  of  pay,  and  other  ques- 
tions of  employment  control.  The  methods  of  inquiry 
should  contemplate  full  opportunity  for  specialists,  in- 
dividually or  in  groups,  to  assist  the  government. 
These  facilities  should  also  be  availed  of  in  interpreting 
the  program  to  the  community. 

All  the  foregoing  factors  of  cooperation  were  recog- 
nized in  the  New  York  State,  the  New  York  City,  and, 
more  recently,  the  national  government  inquiries. 
Collection  of  Data  as  to  Existing  Emplo3rtnent  Conditions. 

The  first  step  in  the  investigative  program  is  to  learn 
what  each  employee  is  actually  doing.  The  primary 
requisite  is  a  description  of  the  duties  actually  per- 

74 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

formed  by  each  employee,  so  presented  as  to  bring  out 
clearly  the  difficulty  of  the  work,  the  degree  of  responsi- 
bility it  involves,  the  extent  to  which  it  is  supervised  or 
demands  the  supervision  of  others,  and  the  training  and 
experience  necessary  for  its  successful  prosecution. 
This  information  is  indispensable.  Supplementary  data 
are  usually  collected  regarding  the  age  of  the  employee 
and  his  service  history  or  record.  The  extent  to  which 
the  service  history  of  the  employee  is  inquired  into  will 
depend  in  part  on  the  size  of  the  government  being 
studied.  In  small  governments  the  physical  difficulties 
of  reviewing  and  utilizing  details  are  comparatively 
slight,  but  in  large  governments,  where  the  number  of 
positions  runs  high  into  the  thousands,  the  work  in- 
volved in  reviewing  and  utilizing  a  mass  of  details  is  so 
considerable  that  only  absolutely  essential  questions 
should  be  asked.  Information  regarding  the  depart- 
mental location  of  the  position,  its  civil  service  status, 
salary,  and  perquisites  are,  of  course,  always  secured.^ 
To  facilitate  the  collection  of  this  information,  a 
standard  form  or  questionnaire  should  be  used,  which, 
under  ordinary  circumstances,  will  be  initially  filled  out 
by  the  employee  himself.  If  the  employee  prepares  the 
record,  the  department  is  relieved  of  a  large  amount  of 
work.  Most  of  the  information  desired  can  be  fur- 
nished by  him  in  the  first  instance  without  assistance, 
and  he  alone  possesses  some  of  it.  Employees  long  in 
the  service  may  be  unable  to  give  complete  civil  service 
records  without  reference  to  the  civil  service  commission 
or  the  department's  personnel  records,  but  arrangements 

^  The  scope  of  the  information  asked  in  reference  to  the  civil  serv- 
ice and  work  record  of  each  employee  in  the  New  York  State  inquiry 
is  shown  by  the  questionnaire  used  in  it.  This  form,  which  was 
similar  to  that  used  in  the  New  York  City  inquiry,  is  reproduced  on 
pp.  76-77. 

75 


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77 


,  PUBLIC  PERSONNEL  ADMINISTRATION 

can  be  made  whereby  they  may  consult  these  records  or 
be  suppHed  with  the  necessary  facts. 

The  details  of  the  procedure  that  is  to  be  followed  in 
getting  the  questionnaires  properly  distributed  will  de- 
pend in  part  upon  the  conditions  existing  in  the  particu- 
lar government  being  investigated.  A  procedure  such 
as  was  followed  in  the  New  York  State  inquiry  may  be 
summarized  as  follows : 

The  responsibility  for  the  distribution,  filling  out,  and 
verification  of  the  civil  service  and  work  record  cards  so  that 
they  may  be  ready  for  certification  to  the  standardization 
bureau  within  two  weeks  after  their  receipt  is  placed  upon  the 
several  departments. 

A  blank  civil  service  and  work  card  with  a  circular  of  in- 
struction issued  by  the  standardization  agency  is  given  to  each 
employee.  Instructions  should  be  clear  and  specific  as  to  the 
character  of  the  several  answers  desired. 

The  employee  prepares  a  tentative  or  rough  draft  of 
answers. 

The  tentative  draft  is  referred  by  the  employee  to  his  im- 
mediate superior,  who  reviews  same.  The  immediate  superior 
is  charged  with  the  same  responsibility  as  the  employee  him- 
self for  the  accuracy  and  completeness  of  the  answers  filled  in. 

The  immediate  superior  makes  the  necessary  corrections 
in  the  rough  draft.  These  corrections  as  far  as  possible  should 
be  made  only  after  discussion  with  the  employee,  inasmuch  as 
the  record  in  its  final  form  will  be  verified  by  the  employee  as 
his  statement. 

The  tentative  draft  of  answers  as  reviewed  by  the  imme- 
diate superior  should  be  referred  to  the  bureau  head  or  other 
officer  acting  in  this  capacity  for  final  review.  The  bureau 
head  or  other  officer  acting  in  this  capacity  then  fills  out  the 
questions  of  the  work  record  which  relate  respectively  to  in- 
consistencies of  title,  salary  rate,  etc.,  and  to  special  training 
and  experience  required. 

The  cards  are  then  reviewed  by  the  staff  examiner  acting  in 
conjunction  with  the  departmental  representative. 

In  the  national  inquiry  both  the  employee  and  his 
immediate  superior  prepared  the  so-called  duties  state- 

78 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

ment,  so  that  each  was  given  the  opportunity  to  express 
himself  just  as  he  pleased,  though  each  knew  that  what- 
ever he  said  would  be  read  by  the  other.  This  proced- 
ure has  the  distinct  merit  that  it  brings  issues  of  fact 
between  the  immediate  superior  and  the  employee  to  the 
attention  of  the  investigating  agency,  and  it  gives  the 
employees  the  feeling  that  they  have  an  independent 
standing  in  the  work. 

The  preparation  of  the  description  of  the  work  pre- 
sents the  real  difficulties.  The  employee's  statement 
should  be  complete.  He  should  enumerate  the  several 
classes  of  work  he  performs,  and  under  each  class  de- 
scribe the  duties  in  detail.  For  example,  a  clerk  in  the 
application  division  of  the  civil  service  commission 
might  describe  his  work  in  these  terms :  "I  receive  re- 
quests for  applications,  by  mail  and  by  personal  visits; 
such  requests  average  350  each  day.  I  give  information 
to  the  public  in  reference  to  how  such  applications 
should  be  filled  out.  I  receive  applications  when  filled 
out,  briefly  reviewing  the  same  for  the  purpose  of  calling 
attention  to  omissions  or  irregularities  therein.  I 
record  said  applications  in  a  daily  register  which  con- 
sists of  the  name  and  number.  The  average  number  of 
applications  received  and  so  recorded  is  325.'' 

The  work  record  should  show  the  extent  to  which 
the  employee  supervises  the  work  done  by  others. 
Supervision  may  involve  the  direction  of  several 
bureaus,  it  may  relate  to  the  direction  of  several  divi- 
sions or  to  sections  within  a  division,  or  to  one  or  more 
assistants  who  do  not  constitute  a  recognized  organiza- 
tion unit.  Systematic  provision  should  be  made  for 
recording  the  exact  facts  regarding  the  number  of  em- 
ployees or  the  organization  units  supervised,  the  degree 
of  supervision  exercised,  and  the  time  given  to  it. 

79 


PUBLIC  PERSONNEL  ADMINISTRATION 
The  following  form  was  used  in  the  national  inquiry : 

CONGRESSIONAL   JOINT    COMMISSION    ON    RECLASSIFICA- 
TION   OF   SALARIES 

CLASSIFICATION  QUESTIONNAIRE 

GENERAL  STATEMENT.— The  Congressional  Joint  Commission  on  Reclassifi- 
cation of  Salaries  is  ctiarged  with  the  duty  of  reporting  what  "readjustment  of  com- 
pensation should  be  made  so  as  to  provide  uniform  and  equitable  pay  for  the  same 
character  of  employment  throughout  the  District  of  Columbia  *  *  *."  To  assist  the 
Commission  in  ascertaining  the  "character  of  employment"  in  each  position  in  the 
service  it  requests  that  each  employee  furnish  specified  information  (questions  I  to 
22)  regarding  his  own  position.  The  immediate  superior  of  each  employee  is  also 
requested  to  furnish  certain  information  (questions  23  to  27).  READ  ALL  QUES- 
TIONS THROUGH  BEFORE  WRITING  ANYTHING.  Then  fill  in  the  answers 
carefully,  and  finally  reread  all  questions  and  answers.  Entries  must  be  made  in  ink 
or  typewriting.  This  card  goes  first  to  the  employee,  then  to  his  immediate  superior, 
who  will  return  it  to  the  employee  for  final  delivery  to  the  Commission's  represen- 
tatives. 

Name 

Organization  Unit 

Pay-roll  Title 

Basic  Salary 

No 

QUESTIONS  BELOW  TO  BE  ANSWERED  BY  EMPLOYEE 

(Read  all  questions  through  before  writing  anything.) 

Position 

I.     By  what  occupation,  name,  or  title,  is  your  position  usually  referred  to? 


2 


Place  of  Work 

Where  is  your  office  or  place  of  work?     (a) Building 

(&) St.  or  Ave.     (c)   Telephone  No Branch 

3.  Who  is  your  immediate  superior  ? His  title  ? 

Duties 

4.  What  work  do  you   actually  perform  in   your  position?      (Answer   this   question 

fully  in  the  space  provided  on  the  other  side  of  this  card.) 

5.  Do  you  hold  any  other  Government  position? If  so,  give  title  and  place 

of  work 

Compensation 

fper  month. 

6.  What  is  your  present  rate  of  pay,  exclusive  of  bonus?     (o)  $ "^  per  day. 

Lper  hour, 

(6)   $ per  yr.     (c)  Bonus?  $ 

7.  Are  you  paid  for  overtime  work?    If  so,  at  what  rate?  $ per 

(Yes  or  No.) 

8.  Do  you  receive  any  remuneration  or  allowances  in  addition  to  your  salary,  such 

as  board,   lodging,   etc.  ? 

(Yes  or  No.) 

9.  If  so,  state  fully  what  they  are 

10.     What   supplies,   uniform,   or   equipment,   if  any,   are   you   required   to    furnish  at 
your   own   expense  ? 

80 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

Hours  of  Work 

11.  What  are  your  regular  working  hours?      (a)   Hour  of  beginning 

(b)    Hour  of  ending (c)    Minutes  for  lunch? 

(d)    Net    hours    per    week? {e)    Leave    per    year:    (i)    An- 
nual   days ;    (2)    Sick days. 

12.  Do  you  work  overtime? (a)   If  so,  how  often  and  during  what 

months? (b)  How  many  hours  per  day 

on  the  average  on  overtime  days ? 

13.  Do  you  work  full  time  or  part  time  in  this  position? 

Supervisory  Responsibility 

14.  Are  you   responsible    for    the    direction    or   supervision    of   the   work   of   others? 

(Yes  or  No.) 

15.  If  so,  how  many? 16.  What  is  the  aggregate  of  their  annual 

salaries?    $ 

17.     List  below  the  titles  or  occupations  of  the  employees  under  your  supervision  and 
indicate  the  number  of  each  kind. 


Personal  Data 

18.     What   is   your   age?    yrs mos.     19.  How   long    have 

you  been  in  your  present  position  doing  substantially  the  same  work  as  that 

described  in  your  answer  to  question  4?      yrs mos. 

Since  

(Year.) 

fper  month. 

20.  At  what  salary  did  you  start  in  your  present  position?     $ -<  per  day. 

Lper  hour. 

21.  How  long  altogether  have  you  been  in  the  civilian   employ  of  the  United  States 

Government  or  of  the  municipality  of  the  District  of  Columbia? yrs. 

mos. 

Since   22.  At  what  salary  did  you  first  enter  the 

(Year.) 


fper  month. 

service? ■<  per  day. 

Lper  hour. 

Note 

Before  signing  this  certificate,  read  over  all  of  the  questions  and  your  answers  and 
make  sure  that  you  have  given  the  information  called  for  in  each  case.  After  your 
immediate  superior  has  made  his  notations  on  your  card,  and  it  has  been  examined  by 
the  Bureau  or  Division  Chief,  it  will  be  returned  to  you  for  your  final  signature  and 
for  delivery  to  the  Commission's  representatives. 

Certificate 

I  hereby  certify  that  my  answers  to  all  of  the  questions  in  this  Questionnaire  are 
in  all  respects  correct  to  the  best  of  my  knowledge  and  belief. 

(Mr. 

Date 1919-  Signed:-!  Mrs 

LMiss 

(Sign  Full  Name.) 

QUESTIONS  BELOW  TO  BE  ANSWERED  BY  IMMEDIATE 

SUPERIOR 

(Read  all  questions  through  before  writing  anything.) 

23.  What  is  the  work  actually  performed  by  the  employee  to  whom  this  Questionnaire 
is  addressed?  (Please  answer  this  question  fully  in  the  place  provided  in  the 
lower  part  of  the  other  side  of  this  card.) 

81 


PUBLIC  PERSONNEL  ADMINISTRATION 

24.  In  your  opinion  is  there  any  material   difference  of  fact  between   the  statement 

in  your  answer  to  question  23   and  that  given  by  the  employee  in  answer  to 

question  4  ? 

(Yes  or  No.) 

25.  If  so,  in  what  essential  respects  do  they  differ ? 


26.     What  qualifications   do   you   think   applicants  who    seek   to    be   appointed    to    this 

position  should  possess ? 

(o)     As  to    education  ? 


(6)     As  to  length  and  kind  of  practical  experience?. 


(r)     As  to  personal  characferistics?. 


zj.     Have  you  read  all  the  answers  made  by  the  employee  to  whom  this  Questionnaire 

is  addressed? 

(Yes  or  No.) 


Signed:    

Title:    

Name  of  Office  or  Section, 
EXAMINED  BY: 


(Bureau  or  Division  Chief.) 


.Date  ,  19 19. 


STATEMENT  OF  DUTIES  AND  OF  WORK 
PERFORMED 

To  THE  Employee 

(See  question  4  on  other  side.) 

Describe  your  work  by  listing  the  various  tasks  you  perform.  List  your  regular 
duties  first  and  your  special  or  occasional  duties  last.  Explain  each  task  in  a  sepa- 
rate paragraph  and  make  your  description  as  detailed  as  space  will  permit.  Number 
each  paragraph  and  in  the  columns  to  the  left  show  the  hours  per  day  or  days  per 
month  or  the  percentage  of  your  total  time  that  you  estimate  you  give  to  each  duty  in 
the  normal  course  of  your  work.  Not  only  the  successful  progress  of  the  work  of 
this  Commission  but  the  proper  classification  of  your  own  position  depends  largely  on 
the  completeness  and  correctness  of  your  description  of  your  work.  After  you  have 
completed  your  statement,  draw  an  oblique  line  through  the  remaining  space.  If  you 
need  more  space,  attach  a  separate  sheet. 


a 

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Q 

82 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

To  THE  Immediate  Superior 

(See  question  23  on  other  side.) 

Give  a  careful  and  complete  statement  of  the  duties  of  the  position  to  which  this 
card  applies.  Describe  specifically  the  work  actually  performed  by  the  employee. 
Tabulate  in  separate  paragraphs  the  items  that  go  to  make  up  the  work.  Indicate  in 
each  case  what  percentage  of  the  total  time  of  the  incumbent  is  given  to  each  task 
in  the  ordinary  course  of  his  work.  After  you  have  completed  your  statement,  draw 
an  oblique  line  through  the  remaining  space;  and  return  this  card  to  the  employee. 
Ask  him  to  return  the  card  to  the  Commission's  representatives. 


To  THE  Employee 
(NOTE : — When  this  card  has  been  returned  to  you  by  your  imme- 
diate superior,  fill  out  the  questions  below  and  deliver  the  card  to  the 
Commission's  representatives.) 

28.    In  your  opinion,  is  there  any  material  difference  of  fact  between 
the  statements  of  your  duties  given  in  answer  to  questions  4  and  23? 

29.    If  so,  in  what  essential  respects  do  they  differ? 

(Yes  or  No.) 


Signed :   

(Employee.) 


Independent  Verification  of  Records  by  Staff  Examiners. 
During  the  preparation  of  the  work  records  it  will  be 
desirable  for  the  staff  examiner,  in  conjunction  with  the 
departmental  representative,  to  confer  with  supervisory- 
employees  as  to  the  progress  of  the  work.  He  should 
make  first-hand  observations  for  the  purpose  of  de- 
termining the  reliability  of  the  information  being  fur- 
nished. To  do  this  he  should  review  in  a  preliminary 
way  a  representative  number  of  cards  during  the  course 
of  preparation.  He  should  then  discuss  these  cards  with 
the  respective  employees  and,  on  the  basis  of  this  investi- 
gation, report  to  the  departmental  representative  and  the 

83 


PUBLIC  PERSONNEL  ADMINISTRATION 

responsible  officer  his  observations  as  to  the  accuracy 
and  completeness  of  the  information  being  prepared. 

The  preparation  of  civil  service  and  work  records 
gives  the  staff  examiner  good  opportunity  to  familiarize 
himself  with  employment  conditions  in  the  department. 
Many  questions  arise  as  to  the  manner  in  which  the 
answers  should  be  made.  The  examiner  is  better 
equipped  to  furnish  this  information  than  the  depart- 
mental representative.  In  furnishing  it  he  familiarizes 
himself  with  the  position  involved. 

Continuous  contact  with  employment  conditions 
over  a  rather  short  period  enables  an  accustomed  and 
trained  examiner  to  interpret  employment  conditions 
accurately  and  to  classify  the  employees  of  any  large 
department.  The  preparation  of  field  notes  recording 
from  day  to  day  the  observations  of  the  staff  examiner 
promotes  accurate  thinking  and  analysis.  An  examiner 
can  retain  in  his  memory  but  a  limited  number  of  the 
impressions  and  observations  that  he  makes  from  day  to 
day.  If  they  are  currently  recorded,  however,  a  body  of 
information  is  developed  that  soon  becomes  complete  and 
is  easily  interpreted.  The  procedure  for  the  preparation 
of  field  notes  should  be  defined  and  made  mandatory.* 

*The  examiners  of  the  New  York  Senate  Committee  on  Civil 
Service  were  required  to  prepare  field  notes  as  outlined  above,  and 
on  the  basis  of  such  notes  summary  observations  as  to  irregularities. 
The  irregularities  were  grouped  under  appropriate  captions  such  as 
the  following: 

Irregularity  of  title. 

Irregularity  of  compensation. 

Defective  classification  of  positions  (particular  reference  to  ex- 
emptions). 

Conditions  that  made  for  duplication  of  work  and  waste. 

Departmental  practice  with  respect  to  vacation  and  sick  leave. 

Departmental  practice  with  respect  to  maintenance  and  other  per- 
quisites. 

Departmental  practice  with  reference  to  traveling  expenses. 

Unnecessary  work  (that  is,  fields  of  activity  undertaken  by  depart- 
ment). 

84 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

Summary  Observations   as  to  Irregularities.     On  the 

basis  of  the  field  notes  the  examiners  should  prepare 
summary  observations  as  to  irregularities  that  appear 
in  the  preliminary  examinations.  These  should  be  re- 
corded as  tentative  or  interim  comments  to  be  used  as  a 
basis  for  future  reference  and  review.  They  are  in- 
tended merely  as  an  elaboration  of  the  original  notes 
themselves. 

The  current  preparation  of  field  notes  facilitates  the 
preparation  of  reports  on  organization  and  procedure 
that  should  be  undertaken  as  a  somewhat  distinct, 
though  related,  study,  in  order  to  secure  better  perspec- 
tive for  the  interpretation  of  employment  conditions. 
Use  of  Studies  of  Organization.  Working  charts  or  out- 
lines of  organization  should  be  prepared  for  each 
major  unit  of  organization.  These  are  valuable  in  pre- 
senting a  picture  of  the  organization  and  of  the  distribu- 
tion of  employees  in  relation  to  functions,  lines  of 
authority,  and  specific  classes  of  work.  They  assist  in 
interpreting  employment  conditions  and  detecting  ir- 
regularities.^ 

The  chart  or  outline  should  indicate  the  formal  units 
of  organization  or  other  reasonably  distinct  groups  into 
which  the  personnel  is  distributed.®  It  should  also  show 
in  so  far  as  possible  the  interrelation  of  the  subordinate 
units,  thus  revealing  existing  lines  of  authority  and 

"5  They  may  prove  of  value  too  in  calling  the  attention  of  depart- 
ment heads  and  other  officers  to  questions  regarding  the  structure  or 
the  procedure  of  the  bureaus  or  offices  for  which  they  are  respon- 
sible, as  greater  exactness  and  precision  of  understanding  is  required 
in  making  an  organization  chart  than  in  ordinary  routine  supervision. 
In  the  Chicago,  New  York  State,  New  York  City,  and  other  in- 
quiries, these  charts  were  the  specific  means  of  bringing  to  light  im- 
proper divisions  of  personnel  and  other  administrative  defects.  Con- 
scientious officers  were  thus  directly  stimulated  to  improve  their  or- 
ganization. 

^  See  statement  in  relation  to  procedure  in  Report  of  Congressional 
Joint  Commission,  p.  167. 

8s 


PUBLIC  PERSONNEL  ADMINISTRATION 

responsibility.  For  each  subordinate  unit  should  be 
shown  the  number  of  employees  distributed  according 
to  distinctive  titles.  In  charting,  a  square  or  rectangle 
may  be  used  to  indicate  each  major  organization  unit. 
Each  square  or  rectangle  may  well  be  divided  into  three 
parts,  the  first  containing  the  name  of  the  unit  or  a 
characterization  of  the  activity  (such  as  general  ad- 
ministration), the  second,  a  detailed  specification  of  the 
functions  of  the  unit,  and  the  third,  an  itemization  of 
the  personnel.  It  may  be  desirable  to  differentiate  be- 
tween the  major  and  the  subordinate  organization  units, 
presenting  the  information  for  the  former  in  somewhat 
different  form.'^ 

The  coordinate  or  subordinate  relation  of  any 
particular  unit  is  usually  indicated  in  the  working  chart 
by  the  relative  position  of  the  blocks  and  by  the  direction 
of  the  connecting  lines. 

An  intensive  study  of  each  individual  position  of 
distinctive  group  of  positions  necessarily  includes  ques- 
tions of  organization.  The  scope  and  importance  of  a 
position  is  dependent  upon  its  relation  to  the  group.  In- 
deed, it  is  believed  that  classification  and  appraisal  of 
positions  must  be  based  in  part  upon  studies  of  the  or- 
ganization as  a  group  activity  to  which  the  individual 
positions  are  attached.^ 

'  The  organization  charts  for  the  government  of  the  City  of  New 
York  (which  were  designed  for  permanent  use  rather  than  as  working 
charts  in  an  investigation)  presented  for  the  major  units  the  following 
information :  the  name  or  function  of  the  organization ;  summary 
statement  of  the  personnel,  with  total  salary  cost  and  the  title  of 
the  person  in  charge  with  his  salary;  and  a  brief  statement  of  the 
functions  or  activities  of  the  organization  unit.  This  plan  was  ad- 
hered to  also  for  the  subordinate  units  as  far  as  their  formal  organiza- 
tion would  permit. 

*  The  New  York  Senate  Committee  on  Civil  Service  was  directed 
as  a  part  of  its  standardization  inquiry,  to  report  "what,  if  any, 
positions  should  be  abolished  or  changed  in  the  interest  of  the  public 
welfare."    It  considered  itself  directly  authorized  under  the  terms  of 

86 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

For  each  of  the  major  units  or  services  of  the  gov- 
ernment a  descriptive  monograph  is  desirable  presenting 
a  detailed  account  of  its  history,  organization,  and  work 
methods.  The  comprehensiveness  of  such  reports 
would  depend  upon  the  limits  of  time  and  the  technical 
assistance  available  for  the  study  and  the  extent  to 
which  the  materials  developed  are  to  be  used  for  the 
analysis  of  methods  of  administration.  Such  descrip- 
tive reports,  to  be  of  value  in  reference  to  the  technical 
problems  of  personal  management,  must  be  technical  in 

this  resolution  to  inquire  not  only  into  employment  conditions  but  also 
into  the  machinery  of  government  and  the  administrative  procedure. 

The  preparation  of  reports  on  organization  and  methods  of  ad- 
ministration was  undertaken  as  a  separate  but  integral  part  of  the 
standardization  program  in  order  to  meet  this  requirement.  For  each 
department  a  detailed  descriptive  report  was  prepared,  showing  ex- 
isting functions,  distribution  of  personnel,  organization,  and  work 
methods.  On  the  basis  of  such  descriptive  reports,  verified  by  the 
department,  criticisms  and  recommendations  were  formulated  by  the 
committee's  staff  for  each  of  the  departments,  indicating  wherein 
the  existing  organization,  methods,  or  procedure  could  be  changed 
with  resulting  economy  or  increased  efficiency. 

These  reports  were  found  to  be  of  great  value  in  appraising  the 
positions  according  to  the  standards  of  the  classification  that  was 
proposed  by  that  committee. 

The  reports  on  organization,  methods,  and  procedure  consisted  of 
three  parts,  characterized  as  follows : 

Part  I,  Descriptive  reports. 

Part  2,  Critical  comments  on  organization,  methods,  and  procedure. 

Part  3,  Constructive  recommendations. 

The  following  outline  suggests,  in  a  broad  way,  the  scope  and 
character  of  these  reports : 

Part  I.  Descriptive  statement  of  history,  organization,  methods, 
and  procedure. 

A.  Introductory. 

1.  Historical. 

2.  General  statement  of  organization. 

3.  Outline  of  functions  and  activities. 

4.  Characterization  of  problems. 

5.  Appropriations  for  the  past  five  years. 

(a)  Total. 

(b)  Personal  service. 

B.  Descriptive  statement  of  organization,  procedure, 
and  methods  of  overhead  operation. 

1.  Organization. 

2.  Methods. 

87 


PUBLIC  PERSONNEL  ADMINISTRATION 

character.  They  must  present  a  detailed  picture  of  de- 
partmental operations;  not  a  broad  view  of  its  functions. 
The  specific  duties  devolving  upon  each  subordinate  unit 
of  organization  and  the  scientific  methods  of  technique 
observed  for  the  performance  of  those  duties  must  be 
described. 

C.  Descriptive  statement  of  organization,  procedure, 
and  methods  of  departmental  operation. 

1.  Bureau  No.  i. 

(a)  Organization. 

(b)  Personnel. 

(c)  Methods. 

2.  Bureau  No.  2. 

(a)  Organization, 

(b)  Personnel. 

(c)  Methods. 

3.  Bureau  No.  3. 

(a)  Organization. 

(b)  Personnel. 

(c)  Methods. 

Part  2.     Critical  comments  on  organization,  methods,  and  proce- 
dure. 

A.  Criticism  of  the  overhead  system  of  control. 

1.  Handicaps  due  to  organization. 

(a)  Bureau  No,  i. 
(&)  Bureau  No.  2. 
(c)  Bureau  No.  3,  etc. 

2.  Defects  in  methods  and  procedure. 

(a)   General  comments  as  to  policy. 
(&)   Specific  defects  in  procedure  such  as, 
(i)   Defects    in    receiving,    distribut- 
ing, and  filing  correspondence. 

(2)  Defects  in  assigning  work  to  in- 
spectors or  other  groups  of  em- 
ployees performing  the  same 
kind  of  work. 

(3)  Unsuitable  arrangement  of  of- 
fices, 

(4)  Departmental  practice  with  re- 
spect to  vacation  and  sick  leave. 

(5)  Departmental  practice  with  re- 
spect to  maintenance  and  other 
perquisites. 

(6)  Departmental  practice  with  re- 
spect to  traveling  expenses,  etc. 

B.  Criticism  of  detailed  methods  of  operation. 

C.  Criticism  of  individual  employments  and  employ- 
ment conditions. 

Part  3.     Constructive  recommendations. 

88 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

Inquiry  into  Standards  of  Civil  Service  Examinations. 

In  recruiting  and  regulating  employees  under  an  or- 
ganized system  of  control,  past  experience  furnishes  in 
part  the  basis  for  the  consideration  of  present  problems. 
The  formulation  of  new  standards  requires  exhaustive 
study  of  the  detailed  methods  and  technique  of  the  local 
employment  board  in  recruiting  and  regulating  em- 
ployees. The  procedure  of  the  civil  service  commission, 
as  the  employment  board,  must  be  examined  with  respect 
to  the  following  subjects : 

Methods  of  advertising  and  arranging  examinations. 

Standards  of  examinations  as  a  basis  for  original 
appointment. 

Standards  of  examinations  and  other  conditions 
governing  promotion. 

The  quality  and  standard  of  persons  recruited 
through  competitive  examinations  depend  in  part  upon 
the  advertising  methods  through  which  persons  of 
special  qualifications  and  potential  fitness  are  attracted 
to  the  competitive  examination.  It  is  necessary  to 
ascertain  whether  the  publicity  methods  of  the  employ- 
ment board  are  designed  to  stimulate  sufficiently  wide 
competition. 

The  character  and  form  of  advertisements,  the  des- 
ignated channels  of  publicity  and  the  extent  to  which 
universities  and  business  corporations  are  appealed  to, 
should  be  considered  in  reference  to  the  number  of  ap- 
plicants that  compete  for  appointment  to  those  positions 
which  represent  the  more  important  lines  of  the  public 
service. 

The  standards  of  examination  should  be  analyzed 
on  the  basis  of  representative  examination  papers.  The 
basic  factors,  such  as  experience,  personality,  technical 
tests,  etc.,  should  be  independently  examined  in  refer- 

89 


PUBLIC  PERSONNEL  ADMINISTRATION 

ence  to  the  requirements  of  the  position  to  be  filled.  In 
this  connection  the  procedure  preliminary  to  the  holding 
of  examination,  the  means  employed  by  the  commission 
to  learn  the  requirements  of  the  positions  to  be  filled, 
and  the  methods  of  organizing  the  tests  on  a  practical 
basis  should  be  considered.  The  examination  subjects 
and  factors  should  be  analyzed  to  determine  the  stand- 
ards of  severity  and  the  use  of  questions  calling  for  the 
exercise  of  imagination,  judgment,  and  powers  of 
analysis. 

The  success  of  examinations  expressed  in  terms  of 
the  quality  of  persons  certified  should  be  determined. 
This  is  necessarily  difficult.  Conclusions  are  valuable, 
however,  even  though  they  consist  merely  of  opinions 
of  the  responsible  officers  as  to  the  grade  and  character 
of  the  service  that  is  being  rendered  by  persons  certified 
from  particular  eligible  lists. 
Standards  of  Examinations  and  Conditions  Governing 

Promotion.  The  standards  of  promotional  examina- 
tions should  be  examined  in  the  same  way  as  the  stand- 
ards of  examination  for  original  appointment.  It  is 
equally  important,  however,  to  consider  the  lines  and 
area  of  promotion — in  other  words,  the  legal  or  ad- 
ministrative conditions  that  determine  the  opportunity 
for  promotion  which  is  open  to  employees  in  each  specific 
line  of  work — and  the  conditions  that  determine  the 
basis  for  salary  increases. 

Formulation  of  the  Classification.  The  basis  of  a  duties 
classification  of  positions  or  employments  was  reviewed 
in  the  previous  chapter,  where  the  conclusion  was 
reached  that  if  a  classification  is  to  be  efifective  as  an  in- 
strument of  control,  it  should  treat  separately  each  dis- 
tinctive line  of  work  such  as  bookkeeping,  auditing,  etc. 
Such  a  distinctive  line  of  work  represents  the  broad- 

90 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

est  unit  into  which  positions  can  be  grouped  without  in- 
troducing dissimilarity  in  respect  to  the  general  nature 
of  the  duties,  the  requirements  for  original  entrance  into 
the  service,  or  the  normal  lines  of  promotion.  The 
positions  in  such  a  distinctive  line  of  work  are  so  closely- 
related  that  the  salaries  for  each  position  must  bear  a 
very  definite  relationship  to  the  others  in  the  same  line 
whether  they  be  higher  or  lower. 

Lines  of  Work  to  be  Distinguished.  One  of  the  earliest 
steps  in  the  actual  formulation  of  the  classification 
proper  is  to  reach  a  tentative  decision  regarding  what 
distinctive  lines  of  work  are  to  be  recognized.  The 
questionnaires  descriptive  of  the  various  positions  can 
then  be  sorted  into  the  lines  recognized  and  all  the  other 
material  collected  similarly  arranged  so  that  all  the  data 
may  be  available  for  the  staff  members  who  are  specially 
qualified  for  and  who  are  to  specialize  in  the  examina- 
tion of  positions  in  that  special  line. 

Although  the  problem  of  setting  up  tentative 
distinctive  lines  of  work  to  be  recognized  presents  some 
opportunity  for  the  exercise  of  judgment,  it  is  in  the 
main  to  be  solved  on  the  basis  of  the  facts  regarding  the 
particular  service  being  investigated.  The  number  of 
distinct  lines  that  must  be  recognized  is  not  to  be  de- 
termined arbitrarily,  but  will  depend  on  the  variety  of 
distinct  occupations  and  vocations  being  followed  in 
the  service,  and  it  must  be  recognized  that  although 
most  of  the  occupations  have  their  counterpart  in 
private  life,  some  will  almost  inevitably  be  found  that 
are  peculiar  to  the  government.  Where  the  government 
is  very  large  and  diverse,  it  may  be  helpful  in  the  first 
sorting  of  the  questionnaires  and  other  material  ac- 
cording to  general  lines  of  work,  to  provide  for  a  very 
limited  number  of  miscellaneous  groups  that  can  be 

91 


/  PUBLIC  PERSONNEL  ADMINISTRATION 

subsequently  made  the  subject  of  special  study  to  de- 
termine to  what  extent  they  require  recognition  as 
distinct  lines. 

The  number  of  positions  concerned  and  the  degree 
of  distinctiveness  of  the  lines  of  work  will  require  care- 
ful consideration  in  reaching  a  final  decision  as  to 
whether  a  given  type  of  work  should  be  recognized  as  a 
distinct  line.  Some  positions  are  so  unique  that  even 
though  there  be  but  one  or  two  of  them  in  the  service, 
they  will  have  to  be  recognized  as  constituting  a  dis- 
tinct line,  because  they  wall  have  to  be  filled  by  special 
examinations  and  they  must  have  salaries  in  harmony 
with  those  paid  by  private  employers  for  that  particular 
type  of  work.  The  small  number  of  artificial  limb 
makers  and  fitters  employed  by  the  federal  government 
on  account  of  the  war  furnishes  a  good  illustration  of 
such  a  line  of  work.  In  clerical  work  are  found  the  best 
illustrations  of  cases  where  the  number  of  positions 
concerned  is  an  important  factor.  If  a  city  has  just  a 
few  clerks  giving  their  full  time  to  statistical  clerical 
work,  it  is  not  necessary  to  recognize  statistical  clerical 
work  as  a  distinct  line,  for  these  positions  can  be  filled 
passably  well  from  selection  among  persons  who  have 
general  clerical  qualifications  and  are  particularly  good 
in  arithmetic.  If,  on  the  other  hand,  the  service  con- 
tains large  numbers  of  statistical  clerks,  as  is  the  case 
in  the  national  government,  special  entrance  examina- 
tions may  well  be  given  to  test  ability  for  this  particular 
line  of  work  and  careful  consideration  must  be  given  as 
to  whether  the  salaries  are  properly  adjusted.  Defects 
that  are  not  of  very  great  consequence  when  they  affect 
only  one  or  two  employees  become  of  very  great  moment 
when  many  are  concerned.  The  number  of  employees 
involved  must,  therefore,  be  considered  as  one  factor  in 

92 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

reaching  a  decision  regarding  the  lines  of  work  to  be 
recognized  as  distinctive. 

The  Division  into  Classes  or  Grades.  After  the  distinc- 
tive lines  to  be  recognized  have  been  tentatively  deter- 
mined and  all  the  material  collected  has  been  sorted  ac- 
cordingly, comes  the  most  difficult  and  important  work 
in  classification,  the  division  of  all  the  positions  or  lines 
of  work  into  grades  or  classes.  The  recognition  of  the 
vocation  or  occupation  of  the  incumbent  of  a  given 
position  is  in  the  great  majority  of  cases  simple;  and  it 
is  not  particularly  difficult  to  say  what  the  minimum 
and  maximum  salaries  should  be  for  that  line  of  work. 
One  can,  for  example,  easily  recognize  a  stenographer 
from  the  duties  stated  on  the  questionnaire,  and 
fairly  general  agreement  can  be  reached  on  what  range 
there  should  be  between  the  most  elementary  routine 
stenographic  work  and  the  most  difficult  shorthand  re- 
porting. The  real  task  is  to  say  how  the  stenographic 
positions  should  be  divided  into  classes  or  grades  and 
how  the  several  classes  or  grades  shall  be  compensated. 
It  is  here  that  the  real  salary  control  comes  in,  and  it  is 
in  this  feature  of  the  work  that  the  employees  and  the 
administrators  are  most  vitally  concerned. 

Differences  of  opinion  are  more  common  in  respect 
to  this  division  of  a  particular  line  of  work  into  grades 
or  classes  than  they  are  in  respect  to  any  other  technical 
process  of  classification.  In  several  classifications  the 
practice  has  been  to  determine  tentatively  upon  a  given 
number  of  grades,  which  are  defined  in  fairly  general 
terms  upon  the  basis  of  responsibility,  difficulty  of  per- 
formance, and  qualifications  involved,  and  then  to  pro- 
vide for  the  grades  a  series  of  standard  salary  ranges. 
The  particular  line  of  work  is  then  divided  into  grades 
or  classes  in  such  a  way  that  some  one  of  the  standard 

93 


PUBLIC  PERSONNEL  ADMINISTRATION   ' 

ranges  can  be  applied.  Where  this  method  has  been 
adopted,  the  practice  has  not  infrequently  been  followed 
of  consolidating  several  closely  related  kinds  of  work 
into  a  single  more  or  less  composite  grade,  if  it  is  be- 
lieved that  a  common  entrance  examination  can  properly 
be  given  for  recruiting  for  all  the  different  kinds  of 
work  included  in  the  lowest  grade.  This  practice  has 
been  followed  notably  in  the  clerical  field,  where  the  ten- 
tative grades  have  been  defined  in  terms  of  clerical  work 
in  general  and  not  in  the  terms  of  any  distinct  kind  of 
clerical  work  in  particular.  The  general  terms  of  defi- 
nition have  been  given  particularity  by  the  free  use  of 
illustrative  examples  drawn  from  typical  kinds  of  clerical 
work. 

The  Wisconsin  Method  of  Grading  Clerical  Positions. 
A  more  scientific  and  perhaps  more  satisfactory  method 
of  grading  services  as  a  basis  for  specifications  was 
made  by  Wisconsin  in  classifying  clerical  positions. 

In  order  to  secure  the  points  of  view  of  different 
employees  interested  in  various  phases  of  clerical  work 
and  to  understand  the  various  problems  confronting  the 
different  organizations  making  up  the  state  govern- 
ment, some  twenty  employees  representing  twelve  de- 
partments were  selected  from  the  several  departments  to 
assist  in  the  preparation  of  a  standard  specification 
chart. 

The  lines  of  work  and  grades  of  responsibility  rep- 
resented are  indicated  by  the  list  of  employees  selected : 

Five  chief  clerks. 

Five  accountants. 

Two  statisticians. 

Two  filing  and  index  clerks. 

Three  secretarial  clerks. 

Two  professors  from  the  school  of  commerce. 

94 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

Tabulation  and  Classification  of  Primary  Work  Elements. 

From  a  study  of  the  descriptive  statements  furnished 
by  the  departments  with  respect  to  each  clerk  in  the 
service,  a  list  of  typical  clerical  duties  was  made.  This 
was  essentially  a  tabulation  of  primary  work  elements 
listed  in  such  terms  as  the  following : 

Searches  record  files  for  statistical  information. 

Files  cards,  correspondence,  reports,  etc.,  according 
to  subjects. 

Briefs  correspondence. 

Classifies  materials  according  to  subjects. 

The  duties  so  listed  cover  the  entire  range  of  clerical 
routine  from  the  simplest  duties  of  the  office  boy  to  those 
of  the  private  secretary  and  chief  clerk. 

Work  elements  that  involve  practically  the  same 
degree  of  ability  were  grouped  together  and  posted  to 
cards.  The  following,  for  example,  indicates  a  group- 
ing of  duties  that  was  called  "  a  typical  duty." 

Opens  and  sorts  mail. 

Inspects  all  addressed  mail  before  it  leaves  the  office. 

Sends  out  set  form  requests,  acknowledgments,  etc. 

Has  charge  of  requests  for  printed  matter. 

Answers  requests  for  fixed  information,  filling  in 
set  forms. 

Answers  common  requests  for  fixed  information, 
using  form  paragraphs. 

The  primary  elements  so  tabulated  were  then 
grouped  into  reasonably  w-ell  defined  functional  classes, 
as  follows: 

Class  C,  relating  to  correspondence. 

Class  F,  relating  to  filing  and  indexing. 

Class  S,  relating  to  statistical  work. 

Class  R,  relating  to  recording. 

Class  E,  relating  to  examining  and  certifying. 

95 


PUBLIC  PERSONNEL  ADMINISTRATION 

The  next  step  was  to  arrange  the  typical  duties, 
within  each  of  the  five  functional  classes,  according  to 
the  degrees  of  responsibility  involved,  and  difficulty  of 
performance.  The  employees  designated  to  assist  in 
the  development  of  the  classification  chart  were  organ- 
ized into  committees  for  the  purpose  of  this  work.  The 
exact  nature  of  the  process  is  indicated  by  the  instruc- 
tions issued  by  the  civil  service  commission: 

On  each  card  is  indicated  a  typical  clerical  duty,  and  these 
duties  are  divided  into  groups  (a  group  in  each  pack)  for  the 
sake  of  convenience.  All  cards  in  a  pack  are  marked  with  the 
same  letter. 

Sort  one  pack  at  a  time  as  follows :  Arrange  the  cards 
of  a  pack  in  a  serial  order,  according  to  the  relative  degree  of 
ability  required  to  efficiently  perform  the  duties  enumerated. 
Place  numbers  on  the  cards  according  to  this  serial  arrange- 
ment, numbering  as  one  the  card  on  which  is  indicated  the 
duty,  the  performance  of  which  requires  the  lowest  degree  of 
ability.  Arrange  these  cards  in  a  pack  again  and  repeat  the 
operation  for  each  of  the  other  packs. 

Under  no  condition  number  alike  two  cards  in  the  same 
pack. 

Please  consider  the  matter  of  the  arrangement  very  care- 
fully. 

The  result  of  this  process  is  illustrated  by  an  excerpt 
from  the  arrangement  of  typical  duties  for  the  distinct 
line  of  work — filing  and  indexing.     It  was  as  follows: 

1.  Cuts  and  pastes  clippings. 

2.  Numbers  cards,  correspondence,  reports,  etc.,  serially, 
using  machine. 

3.  Numbers  cards,  correspondence,  reports,  etc.,  serially 
without  machine. 

4.  Locates  towns,  cities,  etc.,  geographically  and  writes 
classification  on  same. 

5.  Files  cards,  correspondence,  reports,  etc.,  alphabet- 
ically, numerically,  chronologically,  or  geographically 
without  further  subdivision. 

96 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

6.  Files  cards,  correspondence,  reports,  etc.,  alphabet- 
ically, numerically,  chronologically,  or  geographically 
with  further  subdivision. 

7.  Searches  record  files  for  desired  information,  follow- 
ing a  simple  scheme  of  classification. 

8.  Makes  out  index  cards  for  classified  papers,  records, 
etc.,  including  the  recording  of  items  from  several 
sources. 

9.  Files  cards,  correspondence,  reports,  etc.,  according  to 
subject  or  subjects  using  a  decimal  or  special  scheme 
of  filing. 

10.  Searches  record  files  for  desired  information,  requir- 
ing a  thorough  knowledge  of  cross  reference. 

11.  Briefs  correspondence. 

12.  Classifies  correspondence  according  to  subject  or  sub- 
jects, using  cross  references. 

13.  Classifies  reports,  clippings,  books,  and  such  material 
according  to  subjects,  using  cross  references. 

14.  Classifies  material  according  to  subject  or  subjects  and 

according  to  use  to  be  made  of  material. 

15.  Devises  or  revises  index  and  filing  scheme  to  meet 
peculiar  needs. 

16.  Classifies  material  according  to  subject  or  subjects, 
calling  for  an  extensive  use  of  technical  terms  and  a 
comprehensive  knowledge  of  departmental  procedure, 
etc. 

Having  arranged  the  primary  work  elements  or 
typical  duties  in  the  order  of  their  importance  for  each 
distinctive  line  of  work,  the  next  step  was  to  group 
these  duties  into  grades  as  a  basis  for  specifying  stand- 
ard duties  and  salary  rates.  This  involved  determining 
where  the  grade  limit  should  be  drawn  and  the  line  of 
graduated  responsibility  set  up.  The  gradation  was 
made  by  the  cooperating  employees  organized  into  com- 
mittees and  working  under  the  direction  of  the  civil 
service  commission  examiners.  Each  employee  was 
given  five  sheets  representing  the  five  groupings  re- 
ferred to.  On  each  sheet  was  found  the  relative  ar- 
rangement of  the  duties  of  that  particular  line  of  work. 

97 


PUBLIC  PERSONNEL  ADMINISTRATION  , 

The  arrangement  represented  the  consensus  of  opinion 
of  22  persons  as  to  the  relative  degree  of  ability  required 
to  perform  efficiently  the  duties  enumerated. 

The  process  of  grading  each  line  of  work  was  as 
follows:  Beginning  with  the  lowest  order,  that  is,  duty 
No.  I,  the  list  was  carefully  read  down  and  examined. 
When  the  examiner  came  to  a  duty  that  he  believed 
required  a  distinctly  higher  type  of  ability  in  its  func- 
tional performance,  he  placed  a  mark  between  it  and 
the  preceding  duty.  This  process  was  continued  for  the 
entire  list.  The  result  was  a  division  of  the  list  of  duties 
into  groups  of  duties.  All  within  the  same  group 
represented  the  examiner's  opinion  of  all  duties  falling 
within  the  same  group,  as  involving  the  same  degree  of 
responsibility  and  the  same  degree  of  ability  in  their 
performance. 

To  facilitate  the  grouping  of  duties  on  this  plan  an 
outline  chart  of  the  following  form  was  used : 


Corre- 
spond- 
ence 

Filing 

and 

Indexing 

Statisti- 
cal 
Work 

Recording 

Examining 

and 
Certifying 

In  the  vertical  sections  were  assigned  by  number 
the  card  or  cards  representing  the  duties  requiring 
practically  the  same  degree  of  ability.    In  the  horizontal 

98 


CONDUCT  OF  A  STANDARDIZATION  INOUIRY 

sections  were  the  duties  of  the  same  class,  such  as 
examining  and  certifying.  The  groups  were  arranged 
progressively  from  left  to  right,  the  first  vertical  section 
at  the  left  representing  the  lowest  grade  of  duties.  Two 
cards  which  represent  the  same  grade  of  work  responsi- 
bility would  be  posted  or  located  in  the  same  square. 
The  last  step  resulted  in  the  final  classification  chart  of 
duties.  It  is  important  to  note  that  steps  preliminary  to 
the  setting  up  of  the  grade  limits  represented  the  agree- 
ment of  practically  all  departmental  representatives 
participating  in  the  inquiry.  The  actual  marking  off  of 
the  grade  limits,  however,  showed  considerable  differ- 
ence of  opinion.  The  consensus  of  opinion  favored  six 
grades  in  the  clerical  service.  Despite  the  fact  that  this 
seemed  none  too  many  for  certain  of  the  larger  and 
more  highly  organized  departments,  it  did  not  seem 
advisable  to  make  that  number  for  the  entire  Wisconsin 
service.    A  division  into  four  grades  was  agreed  upon. 

The  fixing  of  the  grade  limits  was  made  largely  on 
the  basis  of  the  points  of  separation  between  successive 
grades  indicated  by  the  assisting  departmental  repre- 
sentatives. It  was  recognized  that  false,  arbitrary,  or 
too  fine  distinctions  might  develop  when  the  chart  was 
applied. 

In  the  Wisconsin  service  many  stenographers  devote 
much  time  to  clerical  duties.  In  many  cases  this  is 
necessary.  The  nature  of  these  clerical  duties,  however, 
should  be  considered  and  should  play  a  part  in  determin- 
ing the  classification  of  the  stenographers.  To  facilitate 
classification  in  these  cases,  a  combined  classification 
chart,  including  both  clerical  and  stenographers'  chart, 
was  developed. 

Use  of  Classification  Chart.  To  show  the  application 
of  the  Wisconsin  classification  chart,  let  us  take  a  prac- 

99 


PUBLIC  PERSONNEL  ADMINISTRATION  ' 

tical  illustration.     Suppose  that  the  duties  of  a  clerk 

are  as  follows: 

Time 

Examines  reports  noting  whether  or  not  all  points 

involved  in  the  questions  are  answered 30  per  cent. 

Writes  concerning  the  defects  or  deficiencies  that  he 

finds  in  these  reports 5  per  cent. 

Answers  requests  for  information,  requiring  simple 

but  variable  repHes 10  per  cent. 

Interviews  and  supplies  general  information  to  the 
public 20  per  cent. 

Prepares  subject  matter  for  departmental  advertis- 
ing     10  per  cent. 

Classifies  material  according  to  subject  or  use  to  be 

made  of  the  material 20  per  cent. 

Answers  all  'phone  calls 5  per  cent. 

Projecting  these  duties  upon  the  chart  it  is  found  that 

the  distribution  of  time  is  as  follows : 

Grades 
123  4 

Cor.         .   5  per  cent.  .  .15  per  cent.   . 

F.  &  I.     .  .  .20  per  cent.  . 

^\.a  •  •  •  «  • 

s 

k^*  «  •  •  •  • 

Exam.  60  per  cent. 

This  shows  that  the  major  part  of  this  clerk's  time  is 
devoted  to  duties  falling  under  the  grade  3.  Therefore 
it  was  decided  he  should  receive  a  salary  within  the 
limits  of  that  grade.  The  amount  of  time  he  devotes 
to  duties  of  a  higher  or  lower  group,  the  efficiency  of 
his  work,  and  seniority  should  play  a  part  in  determining 
what  his  salary  should  be  within  these  limits. 
Olerical  OlassiScati^jn  of  the  Concessional  Commission. 

The  method  followed  by  the  Joint  Congressional  Com- 

100 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

mission  on  Reclassification  of  Salaries  for  the  clerical 
positions  was,  in  several  respects,  similar  to  that  pur- 
sued in  Wisconsin,  but  the  Commission  omitted  the  last 
step  and  did  not  attempt  to  consolidate  the  different 
types  or  lines  of  clerical  work  into  one  uniform  series 
of  grades.  Instead  it  divided  each  particular  line 
into  classes  on  the  basis  of  the  facts  for  that  particular 
line  without  reference  to  exactly  what  had  been  done 
in  dividing  other  lines.  When  salaries  were  fixed,  the 
several  lines  were  compared,  but  no  attempt  was  made 
to  establish  one  uniform  grading  system  or  one  uniform 
scheme  of  salary  ranges  applicable  to  all  kinds  of 
clerical  work.  The  Commission  took  the  position  that 
a  uniform  system  of  grades  and  ranges  did  violence  to 
the  facts  they  found.  The  national  service  at  Washing- 
ton included  over  50,000  clerks,  and  consequently  the 
effects  of  any  arbitrary  decisions  would  have  been  much 
more  far-reaching  than  they  would  be  in  a  state  or 
municipal  service  with  a  much  smaller  body  of  clerical 
employees. 

The  practice  of  the  Commission  in  respect  to  the 
clerical  service  was  as  follows : 

The  classification  staff  of  the  Commission  was  made 
up  of  employees  of  the  several  departments  detailed 
to  the  Commission  at  its  request.  They  were  generally 
selected  because  of  some  special  knowledge  or  experi- 
ence that  was  believed  to  fit  them  for  the  classification 
of  a  particular  line  of  work.  They  were  under  the 
immediate  direction  of  the  so-called  "headquarters 
staff,"  who  supplied  the  technical  knowledge  of  and 
experience  in  classification.  For  each  type  of  clerical 
work  a  stafT  committee  was  organized,  consisting  of 
most  if  not  all  the  members  of  the  stafT  who  had  special 
knowledge  of  the  particular  work.     The  chairman  of 

lOI 


PUBLIC  PERSONNEL  ADMINISTRATION 

each  of  these  committees  was  the  one  primarily  re- 
sponsible for  the  formulation  of  the  specifications  and 
the  other  members  were  either  assistants  or  consultants. 

The  chairmen  of  the  several  clerical  committees 
constituted  the  clerical  group  committee  which  was  the 
coordinating  agency  and  the  form  for  the  discussion  of 
common  problems.  The  chairman  of  the  group  com- 
mittee was  ex-officio  member  of  all  the  clerical  com- 
mittees. A  member  of  the  headquarters  staff  almost 
invariably  sat  with  the  committees,  and  there  was  close 
cooperation  between  the  several  chairmen  and  the  mem- 
bers of  the  headquarters  staff. 

The  more  important  lines  of  clerical  work  recog- 
nized, with  the  approximate  number  of  positions  in  each 
were  as  follows: 

Mail,  file,  and  record 18,000 

Typing,  stenographic,  and  correspondence 16,000 

Fiscal  and  accounting 6,600 

Messenger   3,400 

Supply  and  equipment 3, 100 

Statistical  clerical 2,000 

Office  appliance  operating 2,000 

Personnel    1,200 

Mechanical  tabulation    1,000 

Publications  and  information 1,000 

Administrative  and  supervisory  clerical 500 

Miscellaneous  clerical 6,000 

After  the  questionnaires  descriptive  of  the  various 
positions  had  been  arranged  according  to  organization 
units,  they  were  examined  and  symbolized  according  to 
the  particular  line  of  work  involved.  They  were  then 
sorted  by  the  line  of  work,  and  all  questionnaires  for  a 
given  line  were  turned  over  to  the  committee  specially 
organized  to  handle  them. 

The  committees  then  prepared  tentative  specifica- 
tions for  the  classes  into  which  their  particular  line  of 

102 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

work  was  to  be  divided.  For  this  purpose  they  drew 
on  several  sources  of  information.  They  reviewed 
hurriedly  the  questionnaires  sorted  to  their  particular 
line  of  work,  and  since  most  of  the  members  had  come 
from  the  respective  lines  concerned,  they  drew  on  their 
own  knowledge  of  the  positions  involved.  They  con- 
sulted informally  with  officers  and  employees  in  the 
government  service  and  others  in  whom  they  had  con- 
fidence. They  organized  informal  advisory  committees 
of  officers  and  employees  in  the  service  at  Washington. 
Suggestions  were  also  derived  from  study  of  titles  and 
specifications  printed  in  the  reports  of  other  modern 
classifications.  From  all  these  sources  the  tentative 
specifications  were  developed. 

After  the  tentative  class  specifications  had  been 
developed,  they  were  tested  and  perfected  through  apply- 
ing them  in  sorting  all  the  questionnaires  to  classes. 
This  involved  a  careful,  minute  reading  of  each  ques- 
tionnaire and,  in  some  instances,  special  inquiries  had 
to  be  made  for  further  information.  When  the  specifi- 
cations had  thus  been  tested,  by  seeing  that  they  were 
applicable  to  the  various  positions,  they  were  mimeo- 
graphed and  submitted  to  representative  committees  of 
the  employees  and  the  administrators  concerned  for 
criticism  and  suggestion.  Each  of  these  committees  was 
given  a  hearing,  at  which  they  submitted  such  criticism 
of  the  specifications  as  they  cared  to  make  and  their  sug- 
gestions regarding  what  would  be  a  suitable  salary  scale. 

When  the  specifications  for  the  clerical  classes  had 
been  finally  drafted,  those  for  each  numerically  impor- 
tant class  were  typed  in  an  abbreviated  form  on  three 
by  five  cards,  which  were  kept  in  series  according  to 

lines  of  work.     Several  long  tables  were  placed  end  to 

103 


PUBLIC  PERSONNEL  ADMINISTRATION 

end,  and  strings  were  run  the  length  of  all  the  tables  in 
such  a  way  that  the  surface  of  the  tables  was  marked 
off  like  a  gridiron  by  horizontal  lines.  The  cards  for 
each  type  of  work  were  then  arranged  in  a  vertical  row 
running  from  front  to  back  at  a  right  angle  to  the 
strings,  with  the  cards  for  the  lowest  class  at  the  front 
and  the  highest  at  the  back.  The  individual  cards  in 
the  several  vertical  rows  were  then  moved  forward  or 
back  as  the  case  might  be  until  all  the  cards  falling  in 
the  same  horizontal  lines,  as  marked  off  by  the  strings, 
appeared  to  the  classifiers  to  be  positions  of  like  value. 
Thus  the  classifiers  had  before  them  a  graphical  chart 
of  the  numerically  important  clerical  positions,  and  by 
following  any  string  across  one  could  readily  compare 
the  classes  in  the  several  lines  of  work  that  were  re- 
garded as  of  equal  value.  For  several  days  the  cards 
were  kept  thus  arranged  so  that  various  members  of  the 
staff  could  inspect  them  and  offer  criticisms.  This 
device  was  not  absolutely  the  controlling  factor  in  de- 
termining the  salaries  suggested  to  the  Commission  as 
the  basis  for  recommendations  to  be  made  to  Congress ; 
certain  other  factors  were  also  taken  into  consideration, 
but  it  greatly  facilitated  the  work  of  adjusting  salaries 
as  it  afforded  a  ready  means  of  comparison. 

In  the  opinion  of  the  staff  of  the  Commission  con- 
cerned with  the  clerical  positions,  the  method  demon- 
strated graphically  the  wisdom  of  the  decision  not  to 
attempt  to  consolidate  the  different  kinds  of  clerical 
work  into  a  limited  number  of  standard  grades.  Al- 
though something  could  have  been  done  in  this  direction 
without  doing  violence  to  the  facts  of  the  service,  many 
classes  were  found  that  required  more  individual  treat- 
ment. In  the  national  service  at  Washington  the  num- 
ber of  clerical  positions  is  so  great  that  any  arbitrary 

104 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

consolidation  or  grading  is  of  far  more  serious  conse- 
quence than  it  is  in  a  city  or  state  service. 
Revision  of  Specifications.  To  insure  thorough  and  ef- 
fective criticism  of  the  specifications,  it  is  highly 
desirable  that  departmental  committees  be  designated 
to  examine  and  criticize  the  tentative  specifications. 
Separate  committees  should  be  formed  for  specifications 
of  all  important  lines  of  work.  The  committees  should 
consist  of  employees  who  have  expert  information  or 
wide  experience  in  the  line  of  work  to  be  criticized. 
Furthermore,  the  committees  should  be  as  representa- 
tive of  the  departments  as  is  necessary  to  reflect  all 
points  of  view  of  the  problem. 

As  the  final  step  in  revision,  it  is  desirable  to  hold 
formal  conference  with  these  committees  and  discuss 
the  criticisms  which  they  wish  to  offer.  Records  of 
these  discussions  should  be  preserved  for  reference 
and  use. 

Review  of  Specifications.  Specialists  outside  the  service 
and  others  properly  qualified  should  be  requested  to 
review  the  tentative  specifications  on  the  basis  of  their 
knowledge  and  experience.  This  applies  particularly  to 
specifications  covering  the  professional  and  scientific 
services.  Such  review  will  prove  highly  advantageous 
in  obtaining  a  well  rounded  and  unbiased  point  of  view, 
thereby  enabling  the  standardizing  agency  finally  to 
establish  sound  and  thoroughly  practical  employment 
regulations. 

Determining  Standards  of  Compensation.  After  the 
classification  proper  has  been  perfected,  the  next  prob- 
lem is  to  determine  the  salaries  to  be  paid  to  the  several 
grades  or  classes  established.  The  prevailing  or  market 
rate  of  salaries  and  wages  must  of  necessity  be  the 
primary   factor  in  determining  rates  of  compensation 

105 


PUBLIC  PERSONNEL  ADMINISTRATION 

for  the  public  service.  Independent  investigation  is 
necessary  to  determine  the  prevaiHng  or  market  salary 
rates.  The  local  banking,  industrial,  and  other  cor- 
porations of  the  community  should  be  visited  to  deter- 
mine private  rates  for  work  that  is  comparable  to  that 
being  prosecuted  by  the  government. 

There  are  two  kinds  of  data  that  may  be  developed 
in  this  connection :  information  as  to  existing  schedules 
of  salary  and  wage  rates,  and  the  opinion  of  employers 
as  to  what  the  government  should  pay  for  specific  lines 
and  grades  of  work.  The  opinions  are,  of  course,  the 
easier  to  collect  but  they  are  less  conclusive. 

The  character  of  the  statistical  information  de- 
veloped with  respect  to  private  practice  will  depend 
largely  upon  the  time  and  effort  that  can  be  expended 
in  this  branch  of  the  inquiry.  Any  well  organized 
private  corporation  is  in  a  position  to  furnish  fairly 
easily  a  distribution  of  its  full-time  employees  according 
to  general  lines  of  work  and  salary  rates.  Such  a  dis- 
tribution on  a  definite  monthly  or  yearly  basis  might 
show  in  the  first  instance  the  number  of  clerical  em- 
ployees drawing  less  than  $6  a  week,  the  number  be- 
tween $6  and  $8,  $8  and  $12,  $12  and  $18,  etc.  Such 
figures  can  be  secured  easily. 

Some  corporations  have  graded  their  employees 
according  to  duties  and  responsibility.  Such  informa- 
tion is  of  definite  and  concrete  value  in  establishing 
standards  for  comparable  lines  of  work  in  the  govern- 
ment service.  Many  private  employers  would  be  in  a 
position  to  make  a  tentative  grading  of  certain  groups 
of  their  employees  in  order  to  furnish  information  as 
to  what  the  standards  appear  to  be,  or  could  supply 
statements  regarding  the  nature  of  duties  and  compen- 
sation that  would  permit  of  grading  by  the  standardiz- 

106 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

ing  agency,  provided  the  time  and  money  is  available 
for  such  work. 

Hypothetical  questions  predicated  upon  representa- 
tive positions  in  the  government  furnish  a  definite  basis 
for  an  expression  of  opinion  by  private  employers  as 
to  the  grade  of  work  involved  and  the  amount  the 
government  should  pay  for  it.  Hypothetical  questions 
of  this  character  in  terms  of  standards  of  work  were 
submitted  by  the  Senate  Committee  to  representative 
employers  of  the  State  of  New  York.  Hypothetical 
statements — each  statement  representing  a  grade  of 
work — were  sent  to  a  number  of  employers  familiar 
with  the  line  of  work  specified.  The  returns  revealed 
a  marked  agreement  as  to  the  standards  of  compensa- 
tion that  should  be  applied.  Disagreement  in  the  num- 
ber of  cases  reflected  differences  in  the  employment 
policy.  It  was  found,  for  example,  that  certain  em- 
ployers were  consistently  low  in  rating  classes  of  work 
submitted  to  them;  others  consistently  high.  Later, 
specific  positions  in  the  state  service  which,  on  the  basis 
of  tentative  appraisals  were  thought  to  be  high  or  low 
in  salary  rates,  were  submitted  for  appraisal.  The  re- 
turns from  private  employers  in  this  respect  were 
equally  gratifying,  tending  to  confirm  the  standards 
employed  as  a  basis  for  the  appraisal  as  well  as  the 
appraisal  itself. 

Appraisal  of  Emplo3mients  on  the  Basis  of  Standard 
Specifications.  Having  established  the  standard  speci- 
fications and  determined  the  rates  of  compensation,  the 
next  step  in  the  prosecution  of  a  standardization  inquiry 
is  to  appraise  or  allocate  each  position  according  to  such 
standards.  The  purpose  of  such  appraisal  is  to  deter- 
mine where  each  position  falls  in  the  standard  specifica- 
tions, thereby  laying  the  basis  for  the  application  of 

107 


PUBLIC  PERSONNEL  ADMINISTRATION 

standard  titles  (thus  correcting  the  fictitious  and  ir- 
regular titles  that  exist),  the  application  of  the  standard 
rates  of  compensation  (thus  correcting  the  excess  or 
inadequacy  of  pay),  and  the  determining,  by  means  of 
the  standard  duties,  whether  employees  are  performing 
the  duties  that  should  be  performed,  as  a  basis  for 
payroll  certification. 

Tentative  Appraisals  by  Staff  Examiners.  The  initial  or 
tentative  appraisals  of  the  individual  positions  should 
be  made  by  the  staff  examiners  assigned  to  specific 
departments  for  the  purpose  of  verifying  the  civil 
service  work  records  of  each  employee  and  collecting 
information  with  respect  thereto.  The  departmental 
examiner  should  participate  in  the  appraisal  of  all 
positions  in  those  departments  which  he  has  studied, 
inasmuch  as  he  is  best  informed  as  to  the  employment 
conditions  within  such  departments.  He  should  be 
assisted  by  at  least  one  other  examiner,  preferably  the 
one  who  prepared  the  specifications  governing  the  posi- 
tions to  be  appraised.  An  apparently  good  technique 
in  appraisal  or  allocation  is  as  follows : 

a.  The  appraisal  group  should  consist  of  at  least  two  ex- 
aminers for  each  department,  one  of  whom  should  be  the 
examiner  who  investigated  the  department. 

h.  The  individual  work  records  with  supporting  field  notes 
should  furnish  the  basis  for  tentative  appraisal.  One  of  the 
appraisal  group,  preferably  the  departmental  examiner,  should 
read  and  interpret  the  work  description,  after  which  each  ex- 
aminer should  independently  express  his  opinion  as  to  the  line 
and  grade  of  work  into  which  the  position  falls.  Upon  agree- 
ment the  position  should  be  tentatively  entered  on  a  form. 

c.  Each  position  should  be  appraised  at  a  salary  rate  pro- 
vided for  in  the  standard  specifications.  To  facilitate  further 
appraisal  the  consideration  would  be  desirable  to  set  up  on  an 
appropriate  form,  such  as  is  herein  suggested,  the  minimum 
and  maximum  salary  limits,  together  with  a  description  of  the 
standard  rate  (that  is,  within  rrade)  which  is  nearest  to  the 

io8 


CONDUCT  OF  A  STANDARDIZATION  INQUIRY 

existing  salary  rate.  If  the  existing  salary  rate  falls  outside 
the  limits  of  the  grade  in  which  the  work  is  appraised,  an 
appropriate  notation  such  as  "out  of  grade"  should  be  made 
Where  the  existing  rate  falls  within  the  limits  of  the  grade 
in  which  the  work  is  appraised,  but  does  not  agree  wath  one 
of  the  standard  rates  of  the  grade,  the  position  should  be  ap- 
praised at  the  nearest  salary  rate  whether  such  appraised  rate 
be  higher  or  lower  than  the  present  rate. 

Where  the  present  rate  falls  within  the  limits  of  the  grade 
in  which  the  work  is  appraised  but  is  half-way  between  two 
standard  rates,  it  should  be  appraised  at  the  higher  rate. 

d.  Appraisals  should  be  made  on  an  impersonal  basis. 
Examiners  who  have  made  intensive  studies  of  departments 
often  are  able  to  identify,  from  the  work  record,  the  particular 
incumbent  of  the  position  being  appraised.  As  a  result  an 
element  of  bias  often  threatens  their  judgment.  Discussion 
between  members  of  the  appraisal  group  should,  as  far  as 
possible,  omit  references  to  personal  characteristics  of  the 
emplo3^ees.  The  appraisal  should  be  based  solely  upon  the 
difficulty  of  the  work,  its  importance  and  the  technical  qualifi- 
cations required  in  performance. 

e.  The  appraisal  should  be  made  upon  the  basis  of  work 
grades  rather  than  salary  grades.  Salary  limits  must,  of 
course,  be  set  up  in  defining  work  standards,  and  it  is  difficult 
to  consider  a  grade  of  work  except  in  its  relation  to  the  stand- 
ards of  compensation.  The  grade  of  work,  however,  must  fur- 
nish the  basis  of  appraisal. 

The  adequacy  of  the  specifications  is  tested  in  the 
appraisal  work.  Inability  to  relate  a  given  position  to 
that  grade  of  work  in  which  it  properly  falls  often 
brings  to  light  inaccurate  or  inadequate  definitions  of 
work  standards.  Specifications  that  with  equal  warrant 
permit  the  appraisal  of  positions  in  one  of  two  grades, 
indicate  that  the  standards  are  not  mutually  exclusive 
and  that  the  grades  of  responsibility  are  not  clearly 
defined.  Such  disclosures  should  lead  to  further  in- 
tensive study  with  a  view  to  revising  the  specifications. 
Often    difficulties    will    arise    in    appraising    positions 

through  the   fault  of   the  examiners.     DilTerences  of 

109 


PUBLIC  PERSONNEL  ADMINISTRATION 

opinion  should  be  referred  promptly  with  full  explana- 
tions to  the  supervisor  in  charge  of  the  work. 

The  results  of  the  appraisals  should  be  recorded  in 
comparative    form.      Positions    for    each    department 
should  be  listed  according  to  existing  schedules  and 
according  to  the  proposed  standards. 
Investigation    of   Positions   Appraised    Out    of    Grade. 

The  number  of  employments  that  receive  excessive  or 
inadequate  rates  of  pay  will  vary  somewhat  according 
to  the  influences  that  have  made  for  standardization. 
Each  position  appraised  out  of  grade  should  receive  fur- 
ther investigation  by  the  standardization  staff.  The  pro- 
cedure should  provide  for  the  immediate  review  of  these 
appraisals  by  the  supervisor  in  charge  of  the  work. 
Review  of  Appraisals.  Before  the  appraisals  of  posi- 
tions according  to  existing  standards  are  used  as  a  basis 
for  readjustment  according  to  the  policies  defined  by 
the  standardization  agencies,  departmental  officers 
should  have  an  opportunity  to  review  and  criticize  the 
conclusions  reached.  This  is  essential  not  only  to  insure 
against  errors  on  the  part  of  the  technical  examiners 
but  also  to  secure  their  cooperation  in  the  adoption  of 
the  program. 

The  measures  to  be  employed  and  the  practical  steps 
to  be  taken  in  applying  the  results  of  the  standardization 
study  would  follow  the  principles  laid  down  in  this 
section  and  also  in  Chapter  IV. 


CHAPTER  VI 
RECRUITING  AND  SELECTION 

Examination  as  the  Basis  of  Selection.  "Hiring  the 
worker"  is  the  first  step  in  actual  employment  control. 
It  is,  indeed,  only  a  first  step,  which  must  be  followed 
up  by  equally  important  acts  of  control  and  leadership. 
Hiring  does,  however,  furnish  the  "raw  material"  of 
all  subsequent  employment  processes,  and  is,  therefore, 
of  basic  importance. 

In  the  field  of  private  enterprise  the  selection  of 
employees  is  generally  carried  on  by  more  or  less  hap- 
hazard methods.  Employees  are  hired  on  the  basis  of 
a  personal  interview,  sometimes  supplemented  by  an 
investigation  of  references.  In  the  more  progressive 
establishments,  where  well  developed  employment  de- 
partments exist,  refinements  in  methods  of  interviewing 
and  formal  methods  of  testing  the  fitness  of  applicants 
are  beginning  to  be  introduced. 

In  civil  service  employment,  on  the  other  hand,  the 
selection  of  employees  has  been  based,  for  a  number  of 
years,  in  large  part  on  a  formal  competitive  examina- 
tion. The  employer,  in  this  case  the  appointing  ofhcer, 
is  not  allowed  to  select  employees  entirely  on  the  basis 
of  personal  judgment  or  impression.  He  is  usually  re- 
stricted in  his  choice  to  three  persons  who  have  been 
certified  to  him  as  eligible  on  the  basis  of  the  results  of 
a  competitive  examination. 

The  competitive  examination  as  a  means  of  selecting 
public  employees  is  justified  by  political  considerations. 

Ill 


PUBLIC  PERSONNEL  ADMINISTRATION 

It  was  introduced  as  an  integral  part  of  the  merit  sys- 
tem. The  competitive  examination  is  the  only  means 
of  selecting  public  employees  which  is  able  to  prevent 
the  use  of  patronage  as  a  device  for  controlling  elections. 
It  is  the  only  means  of  opening  up  the  opportunities  in 
the  public  service  in  a  way  which  is  fair  to  all  citizens 
and  in  accordance  with  the  principles  of  democratic  gov- 
ernment. It  is  justified,  in  the  second  place,  on  the 
ground  of  effectiveness.  Viewed  merely  in  the  light  of 
scientific  employment  control,  it  is  the  most  practical 
means  of  selecting  from  a  large  group  of  appHcants 
those  who  are  best  qualified  and  who  will,  therefore,  be 
most  efficient  and  in  the  long  run  contented  in  a  given 
line  of  employment.  It  is  a  method  of  selection  superior 
to  the  inexact  and  impressionistic  method  hitherto  in 
vogue  in  private  employment.  This  fact  is  attested  to 
by  the  present  tendency  among  private  employers  to 
adopt  formal  tests  of  fitness  as  a  means  of  selection. 

The  recruiting  and  selection  of  a  personnel  of  good 
ability  is  possible  only  where  attractive  conditions  of 
employment  obtain.  No  method  of  selection  can  be 
expected  to  secure  a  high  type  of  personnel  unless  the 
conditions  of  employment  are  such  as  to  attract  in  con- 
siderable numbers  high-grade  applicants.  Given  con- 
ditions in  the  civil  service  which  attract  in  large  numbers 
candidates  of  good  or  superior  ability,  the  competitive 
examination  can  be  depended  on  as  an  effective  means 
of  discovering  and  selecting  the  best  qualified  applicants. 

In  civil  service  administration,  the  competitive  ex- 
amination, though  used  generally  as  the  means  of  se- 
lection, is  not  applied  universally.  Certain  positions  are 
filled  on  the  basis  of  a  non-competitive  or  pass  exami- 
nation, and  some  positions  are  treated  as  ''exempt"  from 
all  examination  requirements. 

112 


RECRUITING  AND  SELECTION 

The  non-competitive  examination  is  sometimes 
thought  by  civil  service  commissions  to  be  the  only  prac- 
tical means  of  filling  certain  positions,  particularly  those 
requiring  highly  specialized  professional  or  executive 
qualifications.  The  pass  examination,  indeed,  may  be 
properly  used  in  filling  some  of  these  higher  positions. 
The  only  real  reason  for  its  use  is,  however,  that  an 
adequate  test  of  fitness  for  the  position  in  question 
cannot  be  devised  and  that  the  selection  must  be  made 
almost  entirely  on  the  basis  of  the  past  experience  and 
the  personality  of  the  applicant.  Wherever  an  effective 
test  of  fitness  can  be  devised  there  is  no  reason  why  it 
should  not  be  administered  on  a  competitive  basis.  In 
the  present  state  of  knowledge  concerning  examining 
technique,  it  is  sometimes  difficult  or  impossible  to  devise 
effective  tests  of  fitness.  As  knowledge  of  examining 
technique  increases,  it  will  be  possible  to  devise  suitable 
tests  as  a  basis  of  recruiting  employees  for  the  highest 
civil  service  positions,  and  as  these  tests  are  developed 
they  should  be  administered  on  the  basis  of  open  com- 
petition. 

The  so-called  non-assembled  examination  is  some- 
times used  as  a  basis  of  filling  the  higher  professional 
and  executive  positions.  It  is  in  principle  a  competitive 
examination,  though  it  does  not  require  the  competitors 
to  assemble  in  a  group.  It  is  an  individual  rather  than 
a  group  examination.  It  is  useful  especially  in  that  it 
overcomes  the  objection  that  men  of  proved  ability  some- 
times feel  to  entering  a  group  examination.  The  non- 
assembled  examination  thus  affords  a  useful  means  of 
extending  the  application  of  the  competitive  principle. 
The  Examinmg  Agency.  The  civil  service  commission 
devises  and  conducts  examinations  to  determine  the 
fitness  of  applicants  for  entrance  to  the  "classified"  civil 

"3 


PUBLIC  PERSONNEL  ADMINISTRATION 

service.  In  the  larger  jurisdictions  a  more  or  less 
elaborate  organization  is  needed  for  the  performance 
of  this  function.  A  chief  examiner,  assisted  by  a  staff 
of  special  examiners  and  clerical  assistants,  is  usually 
charged  with  the  duty  of  devising  and  conducting  ex- 
aminations. 

In  determining  the  subjects  that  enter  into  a  given 
examination  and  the  relative  importance  of  the  subjects, 
civil  service  commissions  frequently  cooperate  with  the 
department  heads  or  appointing  officers  concerned.  This 
practice  is  entirely  in  line  with  progressive  methods  of 
employment  control  and  might  well  be  extended.  Con- 
cerning this  point  a  committee  of  the  National  Assembly 
of  Civil  Service  Commissions  in  1919  made  the  follow- 
ing recommendations: 

1.  That  a  statement  of  duties  be  secured  from  the  ap- 
pointing officer,  but  an  investigation  and  check  of  them  be 
made  by  an  examiner. 

2.  That  suggestions  as  to  subjects  and  weights  be  secured 
from  appointing  officers,  decision  as  to  these  matters  to  re- 
main with  the  commission. 

3.  That  examiners  be  selected  by  the  commission  from 
among  those  best  qualified  to  act,  suggestions  as  to  qualifica- 
tions of  examiners  being  invited  from  appointing  cheers.  Ap- 
pointing officers  are  not  to  serve  on  examining  boards  except 
in  special  cases  in  written  examinations  and  only  when  identity 
of  applicants  is  fully  concealed. 

4.  That  questions  be  formulated  by  the  examining  board 
on  the  duties  to  be  performed  and  the  qualifications  desired 
in  the  position,  and  kept  secret  from  all  other  persons  except 
the  commissioners. 

In  addition  to  the  aid  derived  from  department 
heads  or  other  administrative  officers,  civil  service  com- 
missions, in  devising  examinations,  frequently  avail 
themselves  of  the  aid  of  outside  experts  in  the  various 
trades  and  professions.     The  civil  service  commission, 

114 


RECRUITING  AND  SELECTION 

however,  is  the  responsible  examining  agency,  and  it 
should  rely  mainly  on  its  own  staff  for  the  preparation 
and  conduct  of  suitable  examinations.  When  outside 
aid  is  required  in  the  conduct  of  examinations,  it  would 
seem  to  be  advisable  to  provide  for  a  suitable  per  diem 
rate  of  compensation. 

The  devising  of  civil  service  examinations  that  are 
at  once  effective  and  free  from  an  undue  amount  of 
duplication  is  an  arduous  undertaking.  Civil  service 
commissions  would  be  greatly  assisted  in  this  work  by 
the  creation  of  a  central  agency  for  the  exchange  of 
information  and  the  study  of  scientific  .methods  of 
examination.  Such  an  agency  should  study  recent  de- 
velopments in  the  field  of  mental,  trade,  and  educational 
measurement.  The  various  local  civil  service  commis- 
sions can  hardly  be  expected  to  follow  these  develop- 
ments of  scientific  method  and  to  appraise  their 
significance.  A  central  agency  would  be  in  a  position 
to  evaluate  recent  developments  and  to  make  them  gen- 
erally available  for  use  by  civil  service  commissions. 
Factors  of  Civil  Service  Examination.  The  word  "ex- 
amination" as  used  in  civil  service  nomenclature  has  an 
unusually  broad  significance.  It  may  denote  a  valuation 
or  rating  of  all  the  facts  concerning  an  applicant  that  are 
relevant  in  determining  his  fitness  for  civil  service  em- 
ployment. An  examination  in  this  sense  may  include 
a  number  of  other  factors  in  addition  to  the  examination 
designed  to  reveal  special  knowledge  or  general  intel- 
ligence. It  may  include  a  rating  of  the  applicant's  ex- 
perience, education,  physical  condition,  personality,  and 
sometimes  of  his  citizenship. 

The  factors  that  enter  into  a  given  examination  de- 
pend on  the  kind  of  employment  in  question.  The  rating 
of  personality  might  not  enter  at  all  into  an  examination 

115 


PUBLIC  PERSONNEL  ADMINISTRATION 

designed  for  the  selection  of  the  lower  grades  of  clerical 
workers,  though  it  would  enter  into  an  examination  for 
the  higher  grades  of  office  executives.  The  rating  of 
experience  might  not  enter  into  the  selection  of  the 
lower  grades  of  clerical  employees,  though  it  would  enter 
into  the  selection  of  accountants  or  engineers.  Accord- 
ing to  present  practice  in  the  national  service,  the  rating 
of  experience  is  practically  the  sole  determining  factor 
in  the  selection  of  accountants.  This  circumstance  is 
due  in  large  part  to  the  difficulty  of  devising  a  suitable 
written  test  of  fitness.  The  written  test  of  special 
knowledge,  however,  is  generally  a  factor  of  civil  service 
examinations. 

The  factors  of  a  given  examination  are  assigned 
different  relative  weights  according  to  the  type  of  em- 
ployment. Thus,  the  written  test  of  an  applicant's 
knowledge  would  be  given  greater  weight  in  selecting 
a  statistical  clerk  than  in  selecting  an  athletic  director. 
The  rating  of  physical  condition  would  likewise  be  given 
greater  weight  in  selecting  a  physical  director  than  in 
selecting  a  statistical  clerk.  The  rating  of  personality 
would  be  given  greater  relative  weight  in  selecting  a 
purchasing  agent  than  in  selecting  a  skilled  mechanic. 
The  relative  weights  of  these  factors  should  obviously 
vary  with  the  different  lines  of  employment. 

In  practice,  commissions  have  failed  to  reach  or  even 
approach  agreement  in  the  matter  of  assigning  weight  to 
the  various  examination  factors.  It  is  to  be  expected 
that  different  relative  weights  will  be  assigned  to  the 
examination  factors  used  in  selecting  workers  for  the 
different  types  of  employment.  Commissions,  however, 
have  failed  to  assign  the  same  relative  weight  to  the 
factors  and  subjects  used  in  selecting  workers  for  the 

same  type  of  employment. 

ii6 


RECRUITING  AND  SELECTION 

Data  on  this  subject,  derived  from  a  study  of  the 
practice  of  the  principal  civil  service  commissions 
throughout  the  country,  have  been  presented  by  Chief 
Examiner  Charles  P.  Messick  of  New  Jersey,  revealing 
the  fact  that  in  conducting  examinations  for  clerks 
(salary  $65  to  $125  per  month)  ten  representative  com- 
missions make  use  of  the  following  widely  divergent 
methods  in  the  distribution  of  weights,  as  well  as  in  the 
selection  of  examination  subjects : 

Commission  No,  i :  Weight 

Arithmetic 3 

Handwriting   3 

General  paper  including  a  letter 4 

Total 10 

Commission  No.  2 : 

Spelling    !. . .  I 

Arithmetic   2 

Letter  writing i 

Penmanship I 

Copying   . .  .^ 2 

Experience  .' 3 

Total .1 10 

Commission  No.  3 : 

Duties    20 

Letter  writing 15 

Arithmetic 1 1 15 

'         Penmanship  and  neatness 30 

Experience 20 

Total   100 

Commission  No.  4 : 

Experience   4 

Duties 6 

Total ,....,       10 

"7 


PUBLIC  PERSONNEL  ADMINISTRATION 

Commission  No.  5:  Weight 

Experience  and  training  ........ .1 ,  30 

Duties 1 1. .  .1 r. . . .  20 

Letter  writing 10 

Penmanship ,. . .  .1 >  15 

Special 5 

Arithmetic  • 1 ,  20 

Total 1 100 

Commission  No.  6: 

Experience \ 20 

Duties 25 

Arithmetic  .  .1 ( > 20 

Penmanship  .  .1 1. ., i. .  20 

Composition  .  .> , 5 

Spelling 10 

Total 1 100 

Commission  No.  7 : 

Experience  and  training 3 

General  subject  (educational)   , 4 

Duties,  office  routine,  etc 3 

Total 10 

Commission  No.  8: 

Filing I 5 

Record  keeping 4 

Arithmetic  .  .1 i 

Total (. .  .1 10 

Commission  No.  9: 

Practical  questions 1 4 

Experience 3 

Oral    3 

Total 10 

Commission  No.  10: 

Practical  questions 6 

Experience  and  training 4 

Total 10 

118 


RECRUITING  AND  SELECTION 

It  appears,  further,  that  in  conducting  examinations 
for  assistant  civil  engineers  (salary  $140  to  $170  per 
month),  representative  commissions  use  the  following- 
methods  : 

Commission  No.  i :  Weight 

Experience 2 

Technical  6 

Mathematics    2 

Total .1 10 

Commission  No.  2 : 

Special  subject   5 

Experience 3 

Mathematics    i 

Report I 

Total 10 

Commission  No.  3 : 

Mathematics >       10 

Surveying 10 

Designing 30 

Construction    , 20 

General  experience 25 

Local  experience 5 

Total 100 

Commission  No.  4: 

Education,  experience,  and  training 7 

Thesis 3 

Total 10 

Commission  No.  5 : 

Experience  and  training 4 

Mathematics    2 

Technical  subject  . 4 

Total 10 

119 


PUBLIC  PERSONNEL  ADMINISTRATION 

Commission  No.  6:  Weight 

Experience 3 

Practical 5 

Oral 1... 2 

Total I u.i  10 

Commission  No.  7: 

Experience 10 

Design 1. .  .1 2 

Mathematics 2 

Materials 3 

Engineering  theory — , i. . .!. .  .1        3 

Total 20 

In  the  selection  of  civil  service  examiners  (salary 
$140  to  $200  per  month)  there  is  also  great  variety  in 
practice: 

Commission  No.  i :  Weight 

Duties 5 

Experience 3 

Oral  duties 2 

Total ,. .  .1 ,. .  10 

Commission  No.  2 : 

Thesis  .  ., .1 2 

Practical  questions 3 

Experience 5 

Total >. u  .  10 

Commission  No.  3 : 

Experience  . , 3 

Special  subject  7 

Total .,  10 

Commission  No.  4: 

Experience 3 

Practical 4 

Oral , 3 

Total I. i. .  10 

120 


RECRUITING  AND  SELECTION 

Commission  No.  5 :  Weight 

Experience 4 

Special  subject  (written) 3 

Special  subject  (oral) 3 

Total 10 

This  situation  plainly  indicates  the  need  of  scientific 
study  of  examining  methods.  Given  the  use  of  more 
objective  methods  in  the  devising"  of  examinations,  sub- 
stantially the  same  relative  weights  would  be  assigned, 
of  course,  to  examination  factors  used  in  selecting  work- 
ers for  the  same  type  of  employment,  regardless  of  the 
civil  service  jurisdiction  within  which  they  are  selected. 
The  Written  Examination.  The  preparation  and  con- 
duct of  written  examinations  constitutes  the  most  im- 
portant single  function  of  the  civil  service  commission. 

The  written  examination  is  intended  to  test  the  in- 
tellectual qualifications  of  the  applicant  for  the  line  of 
employment  in  question.  Other  forms  of  examination 
may  serve  substantially  the  same  purpose.  Thus,  the 
so-called  practical  examination,  as  used  in  testing 
clerical  workers  or  skilled  tradesmen,  serves  as  a  meas- 
ure of  special  or  technical  knowledge.  The  so-called 
oral  examination  or  interview  may  also  serve  as  a  means 
of  determining  the  knowledge  and  intelligence  of  an 
applicant.  All  these  forms  of  examination  may  have 
substantially  the  same  function.  These  examinations 
will  be  considered  here  not  under  the  heading  of  a  com- 
mon function,  but  under  their  customary  civil  service 
designations  as  written,  practical,  and  oral  examina- 
tions. 

The  written  examination  may  test  two  essentially  1 

^  Messick,  "Should  the  Weight  to  Be  Given  to  Experience  Be 
Variable  or  Constant  in  All  Civil  Service  Examinations?"  National 
Assembly  of  Civil  Service  Commissions,  1919. 

121 


PUBLIC  PERSONNEL  ADMINISTRATION 

distinct  phases  of  the  intellectual  equipment  of  an 
applicant:  actual  knowledge  and  intellectual  capability. 
These  functions  of  a  written  test,  while  not  absolutely 
distinct,  may  well  be  considered  separately. 

A  written  examination  may  test  actual  knowledge. 
The  actual  knowledge  of  an  applicant  for  employment 
falls,  however,  into  two  more  or  less  distinct  categories. 
It  may  be  knowledge  of  a  general  nature  or  special 
knowledge  concerning  a  particular  trade  or  occupation. 
A  written  examination  as  used  in  selecting  civil  service 
employees  is  not  concerned  primarily  with  determining 
general  knowledge  or  range  of  information.  A  meas- 
urement of  general  knowledge  and  education  has  con- 
siderable importance  in  selecting  applicants  for  some 
types  of  employment,  particularly  those  requiring  initia- 
tive and  originality.  In  selecting  employees  for  most 
lines  of  work  it  has  only  a  limited  significance  and  is  not 
commonly  applied. 

The  written  examination  is  of  primary  importance 
as  a  means  of  testing  the  special  knowledge  of  an  ap- 
plicant concerning  the  line  of  work  in  which  he  desires 
employment.  A  measurement  of  special  or  technical 
knowledge  is  desirable  in  selecting  workers  for  many 
forms  of  civil  service  employment.  In  most  cases  a 
written  test,  if  properly  devised,  can  furnish  such  a 
measurement  with  a  fair  degree  of  accuracy.  In  some 
lines  of  employment  involving  a  high  degree  of  technical 
knowledge,  such  as  accountancy,  civil  service  commis- 
sions have  failed  as  yet  to  devise  an  effective  test  of 
special  knowledge.  There  is,  however,  no  reason  why 
such  tests  should  not  be  developed. 

A  written  or  question  test,  judging  by  the  experience 
of  the  Committee  on  Classification  of  Personnel  in  the 
Army,  may  be  effective  not  only  in  measuring  special 

122 


RECRUITING  AND  SELECTION 

knowledge  but  also  in  measuring  technical  skill  or 
ability.  There  exists  a  remarkably  close  relation  be- 
tween knowledge  of  the  tools  and  processes  used  in  a 
given  occupation  and  actual  skill  or  ability  in  the  occu- 
pation. In  the  experience  of  the  Committee  on  Classi- 
fication, persons  who  possess  occupational  knowledge 
almost  always  possess  occupational  skill  in  about  the 
same  degree.  The  written  examination,  therefore,  has 
an  important  part  to  play  in  selection.  It  is  valuable 
both  as  a  means  of  directly  testing  occupational  knowl- 
edge and  as  a  means  of  indirectly  testing  occupational 
skill  or  ability. 

In  preparing  a  written  examination  designed  to  test 
special  knowledge  of  the  work  done  in  a  given  position, 
the  materials  entering  into  the  examination  should  be 
assembled  on  the  basis  of  a  study  of  the  specific  duties 
of  the  position  in  question.  This  principle  is  now  gen- 
erally recognized  by  civil  service  commissions.  Where 
printed  specifications  of  positions  have  been  prepared, 
the  materials  entering  into  the  written  test  may  be  based 
in  large  part  on  the  specifications.  Where  employment 
conditions  have  not  been  standardized,  the  examiner 
should  base  the  written  examination  on  a  careful  study 
of  the  duties  of  the  position  in  question,  cooperating  in 
this  study  with  the  responsible  administrative  head. 
The  analysis  of  the  duties  of  a  given  position  should  be 
directed  toward  discovering  all  of  the  items  of  special 
or  technical  knowledge  required  in  the  successful  execu- 
tion of  the  duties  of  the  position.  It  should  also  be  so 
conducted  as  to  bring  out  the  relative  importance  of  the 
various  items  of  special  knowledge  required.  This 
analysis  will  thus  determine  the  scope  of  the  written 
examination,  and  the  various  subjects  that  should  enter 

into  it.    It  should  also  afford  a  basis  for  assigning  the 

123 


PUBLIC  PERSONNEL  ADMINISTRATION 

proper  relative  weight  to  each  of  the  various  subjects 
comprising  the  written  examination. 

In  the  preparation  of  examinations,  civil  service 
commissions  might  well  be  guided  by  the  methods  de- 
veloped in  the  field  of  mental  measurement  for  deter- 
mining the  significance  and  efifectiveness  of  different 
tests  and  test  materials.  A  written  examination  is  in- 
tended to  separate  the  applicants  who  are  qualified  for 
a  given  line  of  employment  from  those  who  are, 
unqualified.  To  what  extent  is  a  given  test,  or  a  given 
type  of  test,  effective  in  achieving  this  result?  Definite 
information  on  this  subject  would  be  a  valuable  means 
of  control  in  the  preparation  of  examinations.  In  order 
to  answer  this  question  it  is  obvious  that  the  thing  re- 
quired is  a  comparison  of  the  standing  of  candidates 
in  a  given  test  with  their  standing  in  productiveness  or 
efficiency  after  a  period  of  employment.  Such  a  com- 
parison would  determine  the  extent  to  which  those  who 
stood  highest  in  the  test  were  rated  highest  in  subsequent 
performance. 

A  comparison  between  a  series  of  ratings  in  a  test 
and  a  series  of  ratings  of  the  same  group  of  persons  in 
subsequent  performance  may  be  worked  out  according 
to  a  mathematical  formula,  and  is  known  technically  as 
a  correlation.^  A  low  degree  of  correlation  between  a 
test  and  subsequent  performance  would  show  that  the 
test  was  of  little  or  no  value  as  a  means  of  selection.  A 
high  degree  of  correlation  would  mean  that  the  same 
members  of  the  group  stood  highest  in  the  test  and 
also  in  subsequent  performance,  and  would  be  strong 
presumptive  evidence  of  the  value  of  the  test  as  a  means 
of  separating  applicants  who  are  qualified  for  the  line 

2  See  Whipple,  Manual  of  Mental  and  Physical  Tests,  1910;  also 
Link,  Employment  Psychology,  1919. 

124 


RECRUITING  AND  SELECTION 

of  employment  in  question  from  those  who  are  un- 
quahfied. 

The  conditions  of  civil  service  employment  would 
seem  to  make  possible,  to  an  unusual  degree,  a  successful 
investigation  of  the  value  of  tests  by  the  method  of 
correlation.  The  relative  standings  of  examinees  are 
given.  In  the  case  of  many  lines  of  work  the  relative 
standings  of  employees  in  actual  performance  could  be 
determined  with  a  fair  amount  of  accuracy  by  a  proper 
use  of  efficiency  ratings.  The  correlation  of  these  two 
series  of  standings  could  be  made  a  valuable  instrument 
of  control  in  the  preparation  of  civil  service  examina- 
tions. 

Assuming  that  a  test  had  been  devised  which  corre- 
lates well  with  a  given  occupation,  in  applying  the  test 
as  a  means  of  selection  it  is  desirable  to  know  the  mean- 
ing of  various  scores  or  ranges  of  scores  in  the  test  in 
terms  of  the  degree  of  occupational  ability  that  they 
represent.  This  result  can  be  accomplished  by  trying 
out  the  test  on  persons  of  known  ability  in  the  occupation 
in  question.  A  fairly  large  number  of  such  persons 
should  be  selected,  and  classified  into  at  least  two  groups 
on  the  basis  of  their  known  ability,  the  range  or  extent 
of  the  classes  depending,  of  course,  upon  the  particular 
purpose  in  hand.  If  the  test  is  now  tried  out  on  these 
groups  of  persons,  the  distribution  of  the  scores  will 
afford  a  means  of  interpreting  the  meaning  of  scores 
in  the  test  in  terms  of  occupational  ability. 

This  problem  was  given  particular  attention  in  devis- 
ing the  trade  tests  used  by  the  Committee  on  Classifica- 
tion of  Personnel  in  the  Army.  After  the  tests  had  been 
assembled,  they  were  tried  out  on  four  groups  of 
persons,  namely,  experts,  journeymen,  apprentices  in  the 
trade  in  question,  and  novices  or  non-tradesmen.    The 

125 


PUBLIC  PERSONNEL  ADMINISTRATION 

method  of  interpreting  the  results  so  as  to  arrive  at 
definite  test  standards  has  been  briefly  described  as 
follows :  ^ 

As  each  question  is  allowed  four  points,  it  becomes  neces- 
sary to  determine  how  many  points  shall  indicate  an  expert, 
how  many  a  journeyman,  etc.  Obviously  the  way  to  do  this 
is  to  note  how  many  points  were  secured  l3y  the  known  experts 
and  the  known  journeymen  when  they  w^ere  tested.  Ordi- 
narily the  expert  scores  higher  than  the  journeyman  and  the 
journeyman  higher  than  the  apprentice.  It  frequently  hap- 
pens that  a  few  journeymen  score  as  high  as  the  lowest  of  the 
experts,  and  a  few  apprentices  as  high  as  the  lowest  of  the 
journeymen.  There  are  consequently  overlappings  between 
the  classes.  In  calibrating,  the  object  is  to  draw  the  dividing 
line  between  classes  so  that  the  overlappings  shall  be  as  small 
as  possible. 

In  the  work  of  this  committee  it  was  found  that,  in 
order  to  achieve  results  of  objective  value,  it  was 
necessary  to  frame  the  so-called  trade  questions  very 
carefully  both  as  regards  form  and  subject  matter.  The 
object  was  to  secure  questions  that  called  for  definite 
and  standard  answers,  and  that  could  be  scored  readily 
and  with  a  high  degree  of  accuracy.  It  was  found  ad- 
visable to  use  in  the  main  only  such  questions  as  could 
be  correctly  answered  with  one,  and  only  one,  word,  or 
at  least  with  a  sentence  containing  a  unique  keyword. 
Experience  showed  that  questions  thrown  into  this  form 
were  more  effective  than  questions  requiring  a  lengthy 
answer. 

An  analysis  of  the  Army  trade  tests  shows  that  the 
questions  used  (in  the  so-called  oral  tests)  fall  into  nine 
principal  categories.  The  questions  call  for  either  an 
operation,  a  reason,  a  result,  a  purpose,  a  name,  a  defi- 
nition, a  measurement,  a  location,  or  a  shape.  Fully  85 
per  cent  of  the  questions  used  in  these  tests  call  for  a 

2  Personnel,  1918,  p.  28. 

126 


RECRUITING  AND  SELECTION 

name,  such  as  the  name  of  a  tool,  machine,  machine  part, 
or  material.  These  questions  occur  in  a  variety  of 
linguistic  forms,  such  as: 

What  is  called? 

What  is  used  to ? 

What  is  put  on,  fastened  across,  etc., 


What  locks,  takes,  holds,  etc., ? 

What  is  at,  between,  etc., ? 

What  kind  of ? 

What  is made  of? 

What  part  of  ? 

What  are  the parts,  colors,  etc.  ? 

Questions  calling  for  the  explanation  of  a  process 
or  operation  and  questions  calling  for  a  reason  were 
found  to  be  of  doubtful  value,  because  they  are  often 
ambiguous  and  often  permit  of  a  great  variety  of  more 
or  less  completely  correct  answers.  They  are  frequently 
unfair  to  the  examinee,  and  are  difficult  to  score  accord- 
ing to  a  uniform  standard. 

Some  of  the  rules  to  be  observed  in  preparing  trade 
test  questions  have  been  stated  by  Max  Watson  as 
follows :  ^ 

1.  Do  not  use  a  catch  question.  For  example:  "What 
kind  of  a  lubricant  is  used  when  turning  cast  iron?''  The 
answer  would  be,  "No  lubricant."  Such  questions  antagonize 
the  tradesman, 

2.  Do  not  use  a  question  with  a  guess  answer.  For  ex- 
ample: "On  what  side  of  a  horse  do  you  stand  when  you  put 
on  the  harness?"  The  answer  must  be  either  "Right"  or 
"Left"  and,  therefore,  is  of  no  value.  Another  form  of  guess 
question  is  the  one  with  the  "Yes"  or  "No"  answer. 

3.  Use  trade  language.  The  vocabulary  of  a  tradesman  is 
limited.  Usually  he  does  not  understand  such  terms  as  "adja- 
cent to"  or  "sisjnificance  of." 


'fc>' 


*  Watson,  "Trade  Tests,"  National  Assembly  of  Civil  Service  Com- 
missions, 1919. 

127 


PUBLIC  PERSONNEL  ADMINISTRATION 

4.  Do  not  use  a  bad  practice  question.  A  good  mechanic 
should  not  be  expected  to  know  how  to  do  things  the  wrong 
way. 

5.  Be  sure  the  meanings  of  all  questions  are  definite.  For 
example,  such  a  question  as  this  causes  trouble :  "How  do  you 
mix  paint  for  a  priming  coat?"  It  can  be  answered  this  way: 
"Thin,"  "With  plenty  of  oil,"  "In  a  bucket,"  "With  a  stick." 
They  are  all  correct  answers. 

6.  Do  not  use  a  question  that  calls  for  a  long  explanation. 
No  two  experts  will  judge  such  an  answer  alike  and  the  non- 
expert is  utterly  lost  in  trying  to  compare  the  answer  he  may 
receive  with  any  answer  which  will  be  given. 

7.  Be  sure  that  the  question  involves  only  such  knowledge 
as  must  come  within  the  field  of  experience  of  a  first-class 
tradesman.  Nothing  is  more  common  than  this  statement : 
"A  good  man  may  not  be  able  to  answer  the  question,  but  he 
can  do  the  work."  This  criticism  is  not  justified  if  the  ques- 
tions are  properly  selected. 

An  example  of  a  trade  test,  cited  by  Watson,  is  given 
below.    It  is  a  test  for  pattern  makers  (wood). 


Q 

A 

Q 

A 

Q 
A 

Q 

A 

Q 

A 


QUESTION   NO.    I 

What  wood,  besides   pine,  is  most  commonly  used   for 

making  small  patterns? 

Mahogany.  Score  4. 

QUESTION   NO.   2 

With  what  is  the  surface  of  a  pattern  coated  to  keep  it 

from  getting  damp  and  warping? 

Shellac.  Score  4. 

QUESTION    NO.   3 

How  is  a  pattern  made  so  that  it  can  be  drawn  out  of 

the  sand  easily? 

Draft.  Score  4. 

QUESTION   NO.   4 

What  is  the  box  called  in  which  the  sand  for  a  mold  is 

rammed  up? 

Flask.  Score  4. 

QUESTION   NO.   5 

For  what  is  the  allowance  made  on  a  pattern  maker's  rule  ? 
Shrinkage  (contraction).  Score  4. 

128 


j 


Q 

A 
Q 
A 

Q 

A 

Q 

A 

Q 

A 


RECRUITING  AND  SELECTION 

QUESTION    NO.   6 

What  do  you  call  the  part  of  the  pattern  which  is  above 

the  parting  line  on  a  two-part  flask  ? 

Cope.  Score  4. 

QUESTION   NO.    7 

What  tool  do  you  use  to  lay  out  a  pattern  with  a  3-foot 

radius? 

Trammels.  Score  4. 

QUESTION   NO.    8 

In  making  a  large  ring  pattern,  what  are  the  separate 

parts  called? 

Segments.  Score  4. 

QUESTION   NO.   9 

What  do  you  call  a  mold  that  has  a  metal  face  to  harden 

the  casting? 

Chill.  Score  4. 

QUESTION  NO.   10 

What  do  you  put  on  a  pattern  to  support  the  core  in  the 

proper  position? 

Prints.  Score  4. 


An  expert  pattern  maker  would  have  no  difficulty  in 
answering  all  of  the  above  questions.  For  the  purposes 
of  civil  service  examining,  it  would  be  desirable  to  devise 
tests  somewhat  more  difficult  than  the  above,  and  to 
allow  a  considerable  range  in  score  to  correspond  with 
what  would  commonly  be  considered  expert  trade 
ability.  In  this  way  it  will  be  possible  to  differentiate 
carefully  within  the  group  composed  of  the  highest 
grade  candidates. 

In  selecting  civil  service  employees  the  written  ex- 
amination may  be  used  not  only  as  a  test  of  actual 
knowledge,  but  also  as  a  test  of  mental  capacity  or  in- 
telligence. It  is  commonly  recognized  that  a  person 
who  knows  comparatively  little  about  the  duties  of  a 
given  position  when  applying  for  employment  may  learn 
those  duties,  and  in  a  short  time  surpass  in  effectiveness 
those  who  had  a  much  greater  degree  of  initial  knowl- 
edge.   In  many  lines  of  employment,  the  actual  knowl- 

129 


PUBLIC  PERSONNEL  ADMINISTRATION 

edge  with  which  a  worker  enters  upon  the  duties  of  a 
given  position  is  of  less  importance  than  his  abiUty  to 
respond  to  new  situations,  to  take  hold  of  new  duties 
readily;  in  short,  his  ability  to  learn.  The  ability  to 
learn  may  be  taken  as  a  fair  definition  of  intelligence. 

General  intelligence  is  of  questionable  significance 
in  selecting  workers  for  most  lines  of  employment.  It 
is  a  trait  desirable  in  employees  who  are  required  to  dis- 
play a  wide  range  of  originality  and  initiative,  and  per- 
haps in  those  in  whom  the  element  of  personality  is 
particularly  required. 

Special  aptitude,  or  what  may  be  called  special  in- 
telligence, is  a  trait  which  doubtless  plays  a  considerable 
part  in  determining  success  in  many  occupations.  Most 
lines  of  employment  require  for  the  highest  degree  of 
success  some  special  form  of  ability  or  intelligence, 
although  they  do  not  require  directly  what  may  be  called 
general  intelligence.  A  test  designed  to  measure  this 
trait  of  special  intelligence  may  well  constitute  a  part 
of  the  written  examination  used  in  selecting  civil  service 
employees  for  a  considerable  number  of  important  oc- 
cupations. 

The  intelligence  test  should  be  based  on  a  carefuA 
analysis  of  the  kind  of  work  in  question,  with  a  view 
to  discovering  the  special  forms  of  mental  ability  re- 
quired.' It  should  be  carefully  standardized,  so  that^J 
scores  made  on  the  test  may  be  correctly  interpreted  in 
terms  of  the  ability  that  they  represent.  The  test  must 
be  scored  with  regard  to  both  speed  and  accuracy.  In 
order  to  give  results  of  objective  value,  the  intelligence 
test  must  be  administered  under  carefully  standardized 
conditions. 

Some  civil  service  commissions  have  made  beginnings 
in  the  use  of  intelligence  tests  in  examining  applicants 

130 


RECRUITING  AND  SELECTION 

for  certain  types  of  employment.  Chief  Examiner 
J.  C.  Whitman  of  California  has  prepared  a  model 
examination  for  clerks  (salary  range  $75  to  $100), 
several  parts  of  which  are  designed  to  test  intelligence 
rather  than  actual  knowledge.  After  analyzing  the 
mental  qualifications  required  for  the  occupation  of 
clerk,  Examiner  Whitman  concludes  that  persons  are 
qualified  for  this  occupation  if  they  are 

1.  Accurate  enough  in  their  mental  operations  to  be  able 
to  perform  arithmetical  computations  without  error. 

2.  Analytical  and  logical  enough  to  solve  mathematical 
problems  involving  analysis  and  reasoning. 

3.  Mentally  alert  enough  to  make  required  classifications 
from  a  complex  list  of  statistical  data, 

4.  Orderly  enough  in  their  way  of  thinking  to  be  able  to 
arrange  given  data  in  a  prescribed,  systematic  and  or- 
derly fashion. 

5.  Possessed  of  sufficient  knowledge  and  education  to  write 
the  English  language  reasonably  well  and  spell  cor- 
rectly. 

On  the  basis  of  this  analysis,  Examiner  Whitman 
has  prepared  an  examination  that  contains,  in  addition 
to  tests  of  spelling  and  letter  writing,  an  easy  and  a 
difficult  arithmetic  test,  a  tabulation  test,  and  an  alpha- 
betical arrangement  test.  The  two  tests  last  named  are 
obviously  tests  of  intelligence.  The  arithmetic  tests  are 
also,  in  large  part,  tests  of  intelligence. 

In  private  employment,  tests  of  intelligence  are 
beginning  to  be  introduced  as  a  means  of  selection.  An 
interesting  discussion  of  work  in  this  field  has  been 
written  by  Dr.  Henry  C.  Link.  In  employing  clerical 
workers.  Dr.  Link  found  the  so-called  ''directions"  test 
a  useful  means  of  selection.  An  example  of  a  "direc- 
tions" test  is  reproduced  below :  ^ 

"  Link,  9p.  cit.,  p.  410.    The  formula  used  for  scoring  the  above 
test  is  explained  on  pp.  3^-401. 

131 


PUBLIC  PERSONNEL  ADMINISTRATION 

Instructions :  *T  am  going  to  give  you  a  number  of  direc- 
tions, so  listen  very  carefully  and  do  exactly  what  I  tell  you  to. 
For  instance,  I  might  ask  you  to  fold  this  sheet  of  paper  twice 
and  then  write  your  name  near  the  top,  like  this  [examiner 
demonstrates].  Be  sure  to  listen  carefully  each  time  and  as 
soon  as  I  stop  talking  do  exactly  what  I  say.  Are  you 
ready?"  The  examiner  then  proceeds  to  give  the  following 
series  of  directions  which  he  has  carefully  memorized  before- 
hand.    Each  direction  is  to  be  given  once  only. 

1.  Draw  a  line  three  times  as  long  as  this  one  (showing  a 
line  I  inch  long). 

2.  Find  the  telephone  number  of in  the  telephone 

directory  and  show  it  to  me. 

3.  What  time  will  it  be  in  20  minutes? 

4.  Find  the  address  of  in  the  telephone  directory 

and  write  it  on  this  envelope. 

5.  Count  the  cards  in  this  pile  and  write  the  number  at 
the  top  of  this  paper. 

6.  Put  a  cross  in  the  lower  right  hand  corner  of  this  paper 
and  fold  it  so  the  cross  will  be  inside. 

7.  Get  a  book  on  the  second  shelf  of  the  cupboard  and 
open  to  page  98. 

8.  Separate  these  clips  so  that  there  will  be  ten  in  one  box, 
three  in  another,  seven  in  the  third  and  fourteen  in  the 
fourth. 

9.  Write  the  date  at  the  top  of  this  paper,  your  father's 
name  in  the  center,  and  your  address  at  the  bottom  of 
the  other  side. 

10.  (Examiner  places  a  25-cent  piece  and  a  5-cent  piece  be- 
fore the  subject  and  a  25-cent  piece  and  lo-cent  piece  be- 
fore himself. )  Out  of  the  money  in  front  of  you,  pay  me 
20  cents,  using  my  money  for  change. 

In  employing  stenographers,  Dr.  Link  found  the 
so-called  "completion"  test  a  useful  aid  in  selection.  An 
example  of  a  "completion"  test  is  given  below." 

Instructions :  "On  each  dotted  line  write  the  word  which 
makes  the  best  meaning.  For  instance  [reading  first  sentence 
and  pointing  out  the  blank  with  a  pencil],  'The  kind  lady  gave 

6  Ihid.,  p.  411.    The  formula  used  for  scoring  the  above  test  is  ex- 
plained on  pp.  399-401. 

132 


RECRUITING  AND  SELECTION 

the  poor  man  a  dollar.'  Put  only  one  word  in  every  blank. 
Do  this  quickly  and  carefully.  All  right?  Start."  Allow 
subject  240  seconds.  .  .  . 

1.  The  kind  lady the  poor  man  a  dollar. 

2.  The plays her  dolls  all  day. 

3.  Boys  and soon  become and  women. 

4.  The  poor  baby as  if  it  were sick. 

5.  The  rises  the  morning  and  at 

night. 


6.  The  poor  little has nothing  to ; 

he  is  hungry. 

7.  The  boy  who hard do  well. 

8.  Men  more  to  do  heavy  work  

women. 

9.  It  is  a task  to  be  kind  to  every  beggar 

for  money. 

10.  It  is  very to  become acquainted 

persons  who timid. 

11.  To  many  things  ever  finishing  any  of 

them a habit. 

12.  One's  real appears often  in  his 

than  in  his  speech. 

13.  The  knowledge  of use  fire  is of 

important  things   known  by  but  un- 
known   animals. 

14^  that  are  to  one  by  an  friend 

should  be  pardoned  readily  than  injuries  done 

by  one is  not  angry. 

15.  To friends  is  always the it  takes. 

Tlie  Practical  Examination.  A  test  of  actual  perform- 
ance in  the  work  in  question  is  frequently  used  as  a 
factor  in  civil  service  examinations.  The  practical  test 
has  a  wide  range  of  usefulness.  It  has  been  success- 
fully applied  in  testing-  skilled  tradesmen,  stenographers, 
typists,  comptometrists,  inspectors  of  various  types, 
engineers,  etc. 

The  fundamental  technique  involved  in  devising  and 
conducting  performance  tests  is  much  the  same  as  that 
discussed  above  in  connection  with  written  tests.     In 

133  ! 


PUBLIC  PERSONNEL  ADMINISTRATION 

order  to  be  effective,  the  practical  test  must  be  so  con- 
structed as  to  cover  the  essential  points  of  the  occupa- 
tion in  question.  Furthermore,  the  test  must  be  of  such 
a  nature  that  the  product  or  performance  of  the  candi- 
date may  be  marked  or  scored  according  to  definite 
standards.  The  standards  used  in  gauging  the  work  of 
the  candidate  should  be  based  on  a  careful  study  of 
scores  made  in  the  past  by  persons  of  known  occupa- 
tional ability.  The  performance  test  may  be  so  devised 
as  to  consist  of  a  series  of  steps  or  operations.  A  definite 
time  required  for  the  completion  of  the  test  should  be 
set  as  a  standard.  The  performance  of  a  candidate  in 
the  test  may  then  be  scored  on  the  basis  of  the  time 
consumed,  and  on  success  or  failure  in  meeting  stand- 
ards set  for  the  several  operations  composing  the  test. 

In  certain  lines  of  employment,  the  performance  test 
is  by  far  the  most  effective  means  of  selection.  For 
example,  in  choosing  an  automobile  truck  driver  the 
result  of  a  well  devised  practical  test  would  be  in  itself 
nearly  conclusive.  And  in  selecting  employees  for  many 
lines  of  work  the  practical  test  should  be  given  consid- 
erable weight.  Wherever  possible,  it  should  be  con- 
sidered in  the  selection  of  clerical  workers  and  skilled 
tradesmen. 

This  test  has  certain  practical  disadvantages.  It 
frequently  involves  considerable  expense  for  material 
and  equipment.  It  requires  a  longer  time  to  give  than 
a  corresponding  written  or  oral  examination.  It  must 
be  administered  under  the  direct  supervision  of  an 
examiner  who  is  an  expert  in  the  trade  in  question.  This 
is  not  necessarily  true  of  a  written  examination,  which 
may  be  administered  by  a  person  not  an  expert  in  the 
occupation  in  question.  Finally,  a  performance  test 
involving  the  use  of  any  considerable  amount  of  ma- 

134 


RECRUITING  AND  SELECTION 

terial  is  difficult  to  administer  in  a  civil  service  jurisdic- 
tion covering  a  large  territory.    The  test  cannot  be  taken 
to  the  applicants,  and  if  the  applicants  are  required  to 
assemble  at  one  point,  the  number  of  applicants  appear- 
ing for  examination  will  be  cut  down  in  an  undesirable 
way.    A  performance  test  involving  only  a  small  amount 
of  material,  such  as  a  test  for  typist  or  stenographers, 
if  necessary,  may  be  given  at  a  number  of  different 
points  throughout  a  large  jurisdiction. 
•Tj    Rating  of  Experience.     The  rating  of  experience  is  a 
factor  in  most  civil  service  examinations.     The  weight 
assigned  to  this  factor  must  vary,  of  course,  with  the 
line  of  work  in  question.    In  selecting  workers  for  some\ 
lines  of  employment,  the  rating  of  experience  plays  little  | 
or  no  part,  while  in  selecting  workers  for  other  occupa- 
tions  it    may    rightly   be   considered   of   primary    im-^' 
portance. 

Civil  service  commissions  have  failed  to  reach  a 
common  understanding  concerning  the  meaning  of  the 
term  "experience."  'Tn  one  instance  'experience'  means 
experience  only;  in  another  it  means  experience  and 
education;  in  another  it  means  experience,  education, 
and  personality;  in  another  it  may  mean  experience, 
training,  personality,  and  fitness  involving  the  physical 
condition."  "^  At  the  outset,  therefore,  a  definition  is 
necessary. 

The  word  "experience"  as  used  in  this  connection 
should  denote  ( i )  experience  in  the  occupation  in  ques- 
tion, (2)  experience  in  related  occupations,  and  (3) 
vocational  education  closely  related  to  the  occupation  in 
question.  The  terrn  as  thus  defined  denotes  two  forms 
of  experience,  and  also  what  would  be  commonly  called 
vocational  training  or  education.     The  term  "experi- 

'  Messick,  op.  cit.,  p.  . 

135 


PUBLIC  PERSONNEL  ADMINISTRATION  ' 

ence"  should  not  include  schooling  or  education  that 
does  not  bear  directly  on  the  occupation  in  question. 

A  standard  of  experience  may  be  set  as  a  minimum 
qualifying  condition  of  admission  to  a  civil  service  ex- 
amination. In  this  case,  a  candidate  who  does  not 
possess  the  minimum  of  experience  is  not  admitted  to 
the  examination,  whatever  his  other  qualifications  may 
be.  Again,  a  certain  standard  of  experience  may  be  set 
as  desirable  in  a  given  line  and  grade  of  employment. 
In  this  case,  a  candidate  is  admitted  to  the  examination 
whether  or  not  he  has  had  the  experience  represented  by 
the  standard,  and  his  experience  is  rated  along  with 
other  factors  of  the  examination.  A  candidate  who 
falls  short  in  respect  to  experience  may  nevertheless  be 
considered  eligible  for  employment  if  he  possesses 
qualifications  that  compensate  for  the  lack  of  experi- 
ence ;  and  a  candidate  who  had  had  extensive  experience 
in  the  line  of  work  in  question  is  given  a  corresponding 
experience  rating. 

In  order  to  reach  results  of  objective  value,  a  formal 
method  of  estimating  the  experience  of  candidates 
should  be  used.  When  a  standard  of  experience  has 
been  set  as  a  minimum  requirement,  it  is  sometimes 
difficult  to  tell  whether  a  candidate  meets  this  require- 
ment. When  a  standard  of  experience  has  been  set  as 
a  measure  of  possible  credit,  it  is  sometimes  a  difficult 
matter  to  tell  just  what  amount  of  credit  should  be  al- 
lowed the  candidate.  In  both  these  cases,  a  rating  scale, 
or  rating  key,  is  useful  as  a  means  of  estimating  the 
value  of  a  candidate's  experience. 

In  devising  a  rating  scale  for  use  in  connection  with 
a  standard  experience  minimum,  the  chief  problem  con- 
sists in  determining  the  precise  forms  of  occupational 

experience  or  education  that  may  be  considered  sub- 

136 


RECRUITING  AND  SELECTION 

stantially  equivalent  to  the  form  specified  in  the 
standard.  The  various  forms  and  lengths  of  experience 
substantially  equivalent  to  the  standard  should  be  set  out 
in  detail,  so  as  to  serve  as  a  guide  in  estimating  the 
experience  of  the  individual  applicant. 

The  task  of  devising  a  rating  scale  for  use  where 
experience  is  counted  as  a  positive  factor  in  the  exami- 
nation is  somewhat  more  complicated.  The  first  item 
to  be  considered  is  experience  in  the  occupation  directly 
in  question.  A  numerical  value  should  be  assigned  to 
a  length  of  experience  in  this  occupation  which  is  judged 
to  be  sufficient  to  make  a  man  a  journeyman  or  an  all- 
round  worker.  Numerical  values  should  then  be  as- 
signed to  parts  of  this  period  of  experience,  and  also 
to  terms  of  experience  extending  beyond  this  period. 
A  maximum  value  should  be  set  beyond  which  no  credit 
is  given  for  additional  experience. 

The  second  item  to  consider  consists  of  experience  in 
related  occupations.  In  some  instances  the  number  of 
these  related  occupations  is  not  great,  while  in  others 
it  is  considerable.  The  related  occupations  should  be 
ranked  according  to  the  degree  in  which  they  served  as 
preparation  for  the  duties  of  the  position  in  question. 
Numerical  values  may  then  be  assigned  to  the  different 
lengths  of  service  in  these  occupations,  the  maximum 
values  decreasing  as  the  occupations  become  less  im- 
portant as  preparation  for  the  duties  of  the  position  in 
question. 

The  third  item  to  consider  in  devising  a  scale  for 
rating  experience  is  vocational  training  or  education. 
The  various  forms  and  courses  of  training  should  be 
ranked  in  terms  of  their  value  as  preparation  for  the 
duties  of  the  position  under  consideration.  Numerical 
values  should  then  be  assigned  to  lengths  of  training 

137 


PUBLIC  PERSONNEL  ADMINISTRATION 

in  the  several  courses,  according  to  the  method  outlined 
above. 

As  a  means  of  determining  the  total  experience 
rating,  a  method  should  be  adopted  for  combining  the 
three  component  ratings.  It  would  seem  that  they 
should  not  be  combined  merely  by  addition.  Experience 
in  a  related  occupation,  if  it  occurs  alone  or  only  in  com- 
bination with  special  education,  should  be  allowed  a 
greater  weight  than  if  it  occurs  in  combination  with  a 
considerable  length  of  experience  in  the  occupation 
directly  in  question.  A  candidate  who  has  had  expe- 
rience in  a  related  occupation,  but  has  not  had  experience 
in  the  occupation  directly  in  question,  should  be  given  a 
greater  degree  of  credit  for  experience  in  the  related 
occupation  than  would  be  given  to  another  applicant 
who  had  had  this  experience  in  addition  to  direct  ex- 
perience in  the  occupation  under  consideration.  A 
candidate  who  is  given  credit  for  a  considerable  length 
of  experience  in  the  occupation  in  question  should  not 
be  allowed  much  additional  credit  for  related  experience 
or  vocational  training. 

In  civil  service  practice  the  rating  of  experience  is 
based  in  the  first  instance  on  information  submitted  by 
the  candidate  on  the  application  form.  This  informa- 
tion is  usually  subjected  to  investigation.  The  investi- 
gation should  be  carried  out  in  a  thorough  manner,  and 
any  applicant  who  is  found  to  have  misrepresented  his 
experience  or  training  should  be  disqualified  from  the 
examination  in  question  and  from  future  examinations 
as  at  least  the  minimum  penalty. 

In  rating  the  experience  of  candidates,  an  average 
should  be  taken  of  ratings  formulated  by  at  least  two 
examiners  working  independently.  By  using  a  rating 
key  or  scale  of  the  type  discussed  above,  examiners 

138 


RECRUITING  AND  SELECTION 

should  be  able  to  formulate  reasonably  objective  and 
uniform  ratings  of  experience. 

\The  Rating  of  Education.  A  standard  of  education  or 
schooling  is  frequently  adhered  to  as  a  qualifying  con- 
dition of  employment.  For  clerical  positions  a  common 
school  education  is  usually  regarded  as  a  minimum  re- 
quirement. For  technical  and  professional  positions  a 
college  degree  is  usually  regarded  as  a  qualifying  con- 
dition. These  requirements,  of  course,  should  be  subject 
to  exceptions.  Provision  should  always  be  made  for 
accepting  the  equivalent  of  a  specified  standard  of 
education. 

In  selecting  workers  for  the  great  bulk  of  civil 
service  positions  education  or  schooling  as  such  should 
be  considered  only  as  a  qualifying  condition.  Special 
or  vocational  education  may  be  given  a  positive  credit, 
but  it  should  be  rated  along  with  experience.  In  some 
cases  length  of  schooling  throws  light  on  the  stability 
and  other  moral  characteristics  of  the  candidate,  and 
may  properly  be  taken  into  consideration  in  the  rating 
of  personality.  But  mere  length  of  schooling  is  an 
unreliable  index  of  the  intellectual  equipment  and 
effectiveness  of  an  applicant.  For  the  most  part  edu- 
cation should  be  gauged  not  directly  in  terms  of  length, 
but  indirectly  in  terms  of  the  work  done  by  the  candidate 
in  properly  devised  written  and  practical  tests. 
The  Physical  Examination.  A  physical  examination  is 
usually  given  to  applicants  for  public  employment.  This 
examination  should  be  based  on  carefull}''  determined 
medical  or  physical  standards.  The  appropriate  physical 
standards  differ  widely  throughout  the  range  of  occu- 
pations involved  in  a  large  system  of  public  employment. 
These  standards  fall  into  a  few  main  groups,  determined 
by  the  physical  requirements  of  the  various  occupations. 

139 


PUBLIC  PERSONNEL  ADMINISTRATION 

The  Civil  Service  Commission  of  the  City  of  New 
York  recognizes  a  distinct  physical  standard  for  each 
of  the  following  groups  of  positions: 

Positions  requiring  the  least  degree  of  physical  ability  and 
involving  no  physical  risk.  Examples :  Clerical  and  steno- 
graphic positions. 

Positions  requiring  a  moderate  degree  of  physical  ability, 
such  as  would  enable  the  incumbent  to  perform  continuous 
outdoor  labor,  walk  long  distances,  or  carry  small  loads,  such 
as  field  equipment.  Examples :  Positions  in  the  inspectional 
service. 

Positions  requiring  a  high  degree  of  physical  ability,  such 
as  would  enable  the  incumbent  not  only  to  perform  severe 
manual  labor,  but  to  care  for  himself  in  accidents,  such  as 
the  tipping  of  a  scaffold  or  a  ladder.  Examples  :  Blacksmith, 
boiler-maker. 

Positions  in  the  police  and  fire  service. 

The  physical  standard  for  each  of  the  above  groups 
includes  a  statement  of  the  principal  disqualifying 
defects,  of  additional  defects  which  disqualify  when 
disabling,  and  of  requirements  concerning  vision,  hear- 
ing, strength  and  flexibility,  and  blood  pressure. 

For  most  positions  the  physical  standard  is  merely 
a  qualifying  condition.  If  the  applicant  does  not  meet 
the  requirement,  he  is  disqualified,  but  if  he  does  meet 
it,  his  general  standing  is  not  affected.  This  is  true  of 
the  physical  requirements  set  for  positions  in  the  first 
three  groups  named  above. 

The  physical  standard  set  for  positions  in  the  police 
and  fire  service  is  more  than  a  qualifying  condition.  It 
constitutes  a  scale  of  possible  positive  credit.  The 
physical  examination  in  this  case  includes,  in  addition 
to  the  usual  medical  tests,  various  tests  of  strength  and 
agility  that  are  rated  in  much  the  same  way  that  prac- 
tical tests  are  rated  in  other  occupations.    This  general 

140 


RECRUITING  AND  SELECTION 

method  of  defining  and  classifying  physical  standards, 
and  of  conducting  corresponding  tests  is  now  in  use  by 
most  civil  service  commissions  throughout  the  country. 

In  recruiting  unskilled  laborers  a  physical  standard 
should  be  maintained.  The  standard  in  this  case  is,  of 
course,  only  a  qualifying  condition  of  employment.  In- 
asmuch as  this  is  the  only  standard  that  can  well  be 
enforced  in  recruiting  unskilled  laborers,  it  should  be 
adhered  to  as  strictly  as  possible, 
b  The  Oral  Examination.  An  oral  examination  or  inter- 
view is  a  factor  in  many  civil  service  examinations, 
particularly  in  those  conducted  by  state  and  local  com- 
missions. 

In  order  to  operate  as  an  effective  and  equitable 
means  of  selection,  the  oral  test  must  be  conducted 
under  conditions  that  insure  that  the  judgment  of  the 
examiners  is  free  from  prejudice.  An  interview  implies, 
of  course,  that  the  identity  of  the  candidate  is  revealed, 
which  is  not  true  of  the  written  examination  as  usually 
conducted.  In  the  early  days  of  civil  service  adminis- 
tration, the  oral  test  was  regarded  with  considerable 
distrust,  as  it  was  generally  felt  that  it  afforded  little 
assurance  that  applicants  of  different  political  affiliation 
would  be  treated  on  an  impartial  basis.  At  the  present 
time,  however,  this  objection  to  the  oral  test  does  not 
apply  to  any  considerable  extent.  We  may  assume  that 
political  prejudice  has  been  eliminated  from  the  conduct 
of  the  oral  examination.  But  assuming  this,  there  re- 
main various  common  forms  of  human  prejudice  and 
fallibility  that  are  extremely  difficult  to  eliminate  from 
an  employment  interview,  whether  conducted  in  con- 
nection with  public  or  private  employment.  Under  the 
most  favorable  circumstances,  an  interview  has  only  a 

limited  value,  and  perhaps  a  more  limited  one  than  is 

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PUBLIC  PERSONNEL  ADMINISTRATION 

commonly  supposed,  as  a  means  of  selecting  suitable 
employees. 

As  used  by  civil  service  commissions,  the  oral  test 
assumes  several  forms,  and  serves  several  distinct  pur- 
poses. Some  commissions  use  an  oral  test  as  a  means 
of  determining  the  applicant's  special  knowledge  con- 
cerning a  given  trade  or  occupation.  If  the  oral  test  is 
conducted  in  an  unsystematic  manner,  it  is  of  less  value 
in  this  connection  than  an  appropriate  written  or 
practical  test.  But  the  oral  test  may  be  conducted  in  a 
systematic  way  and  along  lines  substantially  the  same 
as  those  considered  above  in  discussing  the  written 
examination.  Thus,  it  may  include  standardized  ques- 
tions of  the  type  used  in  the  Army  trade  tests.  If  the 
interview  is  conducted  along  these  lines,  it  has  consid- 
erable value  as  a  test  of  special  knowledge  and  ability. 
However,  the  oral  test  as  used  by  civil  service  commis- 
sions is  not  designed,  as  a  general  rule,  for  the  purpose 
of  determining  the  special  knowledge  of  the  applicant. 

Some  civil  service  commissions  use  the  interview  as 
a  means  of  determining  a  proper  experience  rating.  But 
the  interview  is  not  ordinarily  regarded  as  the  principal 
source  of  the  data  that  should  serve  as  the  basis  of  the 
experience  rating  of  a  candidate. 

f*    The  oral  test  or  interview  is  generally  regarded  as 
^  concerned  chiefly  with  the  determination  of  personal 
\  qualifications.    The  interview  may  indeed  throw  light  on 
5  the  knowledge  and  experience  of  the  candidate.     But  the 
rating  of  knowledge  should  be  made  mainly  by  means  of 
a  written  test  (or  a  formal  oral  test),  and  the  rating  of 
experience  should  be  Ijased  mainly  on  data  derived  from 
other  sources  than  the  interview,  which  should  be  re- 
garded mainly  as  an  opportunity  to  assess  the  personality 
or  personal  qualities  of  the  applicant. 

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RECRUITING  AND  SELECTION 

Forrest  Wheeler,  Secretary  and  Chief  Examiner  of 
the  iMinneapohs  Civil  Service  Commission,  in  discussing 
methods  of  recruiting-  probation  officers,  makes  the 
following  statement :  ^ 

The  oral  examination  was  conducted  on  the  basis  of  hypo- 
thetical cases  which  would  be  a  test  of  the  knowledge  and 
activity  of  the  intellect,  and  was  used  to  further  verity  and 
elaborate  the  experience  of  the  applicant  without  affecting  the 
rating  on  the  experience  paper,  and  third,  it  was  indirectly 
used  to  determine  the  desirability  of  the  person  from  the  stand- 
point of  personality.  In  this  examination  it  was  felt  that  it 
was  important  that  the  probation  officer  have  such  a  personality 
and  disposition  that  he  could  readily  win  the  confidence  of 
the  people  with  whom  he  was  working.  This  was  considered 
as  a  personal  attribute  and  not  necessarily  dependent  upon 
past  experience  or  technical  knowledge  of  the  subject. 

Taking  the  oral  test  to  be  concerned  primarily  with 
the  determination  of  personal  qualities,  the  extent  to 
which  this  test  is  used,  and  the  weight  assigned  to  it, 
will  depend  upon  the  importance  of  personal  qualities 
as  a  condition  of  success  in  various  lines  of  employment. 
Personal  and  moral  qualities  are  in  some  sense  the 
necessary  foundation  of  success  in  any  occupation.  But 
exceptional  personal  qualities  are  not  needed  for  success 
in  many  lines  of  employment.  Thus,  in  the  skilled  trades 
and  in  clerical  pursuits  they  are  not  necessary  conditions 
of  success.  On  the  other  hand,  in  those  phases  of  public 
work  that  involve  administration,  supervision,  inspec- 
tion, police  protection,  social  service,  etc.,  outstanding 
personal  qualifications  are  often  a  primary  condition 
of  successful  employment.  The  oral  test  or  interview  is 
mainly  useful  in  making  a  selection  of  workers  for  this 
group  of  occupations. 

To  develop  an  objective  method  of  rating  the  per- 

^  Quoted  by  H.  N.  Saxton,  National  Assembly  of  Civil  Service 
Commissions,  1919. 

143 


PUBLIC  PERSONNEL  ADMINISTRATION 

sonal  qualities  of  applicants  for  employment  is  difficult 
if  not  impossible.  It  would  be  necessary  to  determine 
the  particular  personal  qualities  needed  for  success  in 
the  various  lines  of  employment.  To  do  this  with 
precision  is  extremely  difficult.  In  the  second  place  it 
would  be  necessary  to  devise  a  method  by  which  the 
personal  qualities  of  individual  applicants  could  be  ob- 
jectively measured  on  a  basis  of  a  comparatively  brief 
interview.    No  such  method  has  yet  been  devised. 

It  is  possible,  however,  to  introduce  a  certain  degree 
of  objectivity  into  the  rating  procedure  used  in  the  oral 
examination.  The  personal  qualities  needed  in  given 
occupations  may  be  determined  and  defined  with  some 
degree  of  accuracy.  Moreover,  methods  of  assessing 
the  personal  qualities  of  candidates  may  be  followed 
which  make  possible  a  considerable  improvement  over 
the  results  obtained  by  the  ordinary  methods  of  personal 
impression  and  "snap"  judgment. 

A  general  list  of  personal  attributes  that  has  been 
used  in  a  large  educational  institution  as  a  basis  for 
rating  personality,  is  reproduced  below :  ^ 

1.  Mental  caliber,  intelligence,  "head." 

2.  Maturity,  common  sense,  judgment,  tact. 

3.  Earnestness,  industry,  seriousness  of  purpose. 

4.  Reliability,  dependability,  deportment,  cooperation. 

5.  Alertness,  resourcefulness,  initiative,  "on  the  job." 

6.  "Push,"  energy,  vigor,  vim,  "pep." 

7.  Leadership,  executive  ability,  efficiency. 

8.  Accuracy,  neatness,  skill,  dexterity. 

9.  Address,  manner,  appearance. 

10.  General  education,  culture,  refinement. 

11.  Capacity  for  growth. 

12.  Fitness  for  line  of  work  chosen. 

This  is  a  fairly  comprehensive  list  of  personal 
attributes.    On  the  basis  of  some  such  list  as  the  above, 

^  Quoted  by  Link,  op.  cit.,  p.  334. 

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RECRUITING  AND  SELECTION 

the  particular  personal  qualities  required  for  success 
in  different  forms  of  public  employment  should  be  de- 
cided upon  and  defined  as  accurately  as  possible. 

The  method  used  in  assessing  the  personal  qualities 
of  an  applicant  for  employment  should  involve  a  com- 
parison of  the  applicant  in  respect  to  these  qualities  with 
other  persons  who  are  taken  as  standards.  The  object 
is  not  to  determine  whether  the  candidate  simply  has  or 
has  not  a  given  characteristic,  but  to  determine  the 
degree  in  which  the  candidate  possesses  the  character- 
istic in  question.  To  do  this  the  population  as  a  whole, 
or  the  personnel  of  a  given  organization,  may  be  divided 
into  groups,  according  to  the  degree  in  which  it  pos- 
sesses a  given  personal  characteristic,  and  these  groups 
may  be  taken  as  standards  of  comparison.  Thus,  the 
employees  of  a  given  department  may  be  grouped  in 
respect  to  a  certain  personal  quality  as  exceptionally 
poor,  noticeably  poor,  average,  noticeably  good,  and 
exceptionally  good.  These  persons  as  thus  grouped  may 
serve  as  standards  of  comparison.  The  candidate  may 
then  be  classified  in  respect  to  the  characteristic  in 
question  by  comparing  him  with  these  standards.  If 
the  groups  or  classes  are  numbered,  a  numerical  value 
may  be  assigned  to  the  standing  of  the  candidate  in  re- 
spect to  the  characteristic  in  question.  A  summation 
of  the  degrees  in  which  a  candidate  possesses  various 
personal  qualities  required  for  success  in  the  occupation 
in  which  he  seeks  employment  will  yield  a  numerical 
expression  of  the  rating  of  the  personal  qualities  of  the 
candidate. 

In  considering  the  personal  qualities  of  employees 
or  of  applicants  for  employment  it  is  well  to  avoid  the 
fallacy  of  assuming  that  these  qualities  are  necessarily 
fixed  and  absolute.    In  fact,  they  frequently  are  not  fixed 

145 


PUBLIC  PERSONNEL  ADMINISTRATION 

and  absolute,  and  depend  largely  on  the  circumstances 
under  which  they  are  manifested. 

One  of  the  great  errors  which  employment  managers,  fore- 
men, superintendents,  and  all  other  people,  including  teachers, 
ministers,  and  religious  workers  fall  into,  is  the  belief  that 
the  moral  qualities  are  absolute  qualities.  They  believe  that 
if  a  man  is  lazy,  he  is  lazy.  If  he  is  industrious,  he  is  indus- 
trious. If  he  is  cheerful,  he  is  cheerful.  If  he  is  disloyal,  he 
is  disloyal.  If  he  is  ambitious,  he  is  ambitious.  If  he  is  good, 
he  is  good.  And  if  he  is  bad,  he  is  bad.  In  other  words,  they 
labor  under  the  belief  that  the  moral  qualities  are  constant 
qualities  which  are  an  inseparable  part  of  a  human  being  as 
scales,  fur,  and  hide  are  an  inseparable  feature  of  the  fish, 
the  dog,  and  the  elephant;  and  further,  that  no  matter  where 
people  are  and  what  they  are  doing,  their  moral  qualities  are 
an  invariable  part  of  their  nature.  Nothing  could  be  farther 
from  the  truth.     The  moral  qualities  are  not  absolute.^*^ 

It  must  be  admitted  that  moral  and  personal  char- 
acteristics are  sometimes  deeply  rooted  features  of  per- 
sonality, and  to  all  intents  and  purposes  ineradicable  and 
absolute.  But  in  many  cases  these  characteristics  do  not 
inhere  absolutely  in  employees,  but  are  relative  to  the 
manifold  conditions  of  employment. 
Advertising  Civil  Service  Examinations.  In  order  to  be 
effective  as  a  means  of  recruiting,  a  civil  service  ex- 
amination should  be  conducted  well  in  advance  of  the 
time  at  which  new  employees  are  actually  needed  in  the 
service.  It  should  be  planned  in  advance  of  the  time  at 
which  it  is  to  be  held,  and  in  response  to  the  needs  of 
the  service  as  revealed  by  a  study  of  the  number  of 
eligibles  available  and  of  the  fluctuating  needs  of  the 
various  departments.  In  order  to  attract  well  qualified 
candidates  in  large  numbers,  the  examination  must  be 
properly  advertised. 

Civil  service  laws  usually  provide  in  general  terms 

^°  Ihid.,  p.  202. 

146 


RECRUITING  AND  SELECTION 

for  the  advertising  of  examinations.  Thus,  the  civil 
service  act  of  New  Jersey  provides  that  notice  of  ex- 
amination "must  be  given  in  such  manner  that  all  per- 
sons interested  in  such  examinations  may  have  an 
opportunity  of  learning  of  the  time,  place,  and  condi- 
tions of  such  examinations."  Such  a  provision  is 
designed  to  insure  that  well  qualified  persons  shall  be 
attracted  to  civil  service  examinations  and  also  to  afford 
an  equal  opportunity  to  all  members  of  the  community 
to  compete  for  public  employment. 

Most  civil  service  commissions  issue  an  official 
bulletin  containing  announcements  of  examinations.  In 
the  large  jurisdictions,  commissions  make  use  of  addi- 
tional means  of  publicity:  the  daily  newspapers,  trade 
and  professional  publications,  civil  service  papers,  mail- 
ing lists,  and  bulletin  boards. 

Commissions  in  the  larger  jurisdictions  insert  in  the 
daily  newspapers  announcements  of  the  more  important 
examinations.  Some  of  the  daily  papers  give  a  consid- 
erable amount  of  free  publicity  by  maintaining  a  civil 
service  news  department.  Commissions  advertise  ex- 
aminations of  skilled  and  technical  workers  in  appro- 
priate trade  and  professional  publications.  They 
also  advertise  largely  in  papers  devoted  directly  to  the 
interests  of  civil  service  employees,  where  such  papers 
are  available.  These  publications  reach  a  large  number 
of  public  employees  and  other  persons  interested  in 
civil  service  matters  and  afford  very  valuable  channels 
of  publicity.  Commissions  also  mail  announcements  of 
examinations  to  selected  lists  of  organizations  and  in- 
stitutions, such  as  clubs,  settlement  houses,  societies, 
civic  organizations,  public  schools,  colleges,  labor 
unions,  etc.  Notices  of  examinations  are  also  posted 
on  bulletin  boards  in  railway  stations,  post  offices,  public 

147 


PUBLIC  PERSONNEL  ADMINISTRATION 

libraries,  etc.  These  notices  are  sometimes  prepared  in 
the  form  of  attractive  posters. 

Some  of  the,  larger  commissions  issue  annually  a 
manual  of  civil  service  examinations,  and  at  more  fre- 
quent intervals  extensive  circulars.  The  Wisconsin 
Civil  Service  Commission  issues  a  biennial  circular  that 
contains  explicit  information  concerning  the  following 
matters:  application;  signatures  of  candidates;  change 
of  address;  subjects  and  weights  of  examinations;  ex- 
perience papers;  examination  numbers;  what  the  can- 
didates are  to  bring  to  the  examination  room;  fair 
treatment  guaranteed  all  candidates ;  notice  of  standing 
to  competitors ;  eligible  lists ;  recommendations ;  political 
and  religious  affiliations;  correspondence;  inquiries; 
and  specimen  of  questions. 

The  matter  used  in  advertising  civil  service  exami- 
nations should  follow  a  fairly  well  defined  outline.  It 
should  contain  the  standard  title  of  the  position  to  be 
filled;  a  statement  of  the  duties  involved  in  the  position; 
a  statement  of  the  rate  of  compensation  and  of  the  op- 
portunities for  advancement;  a  statement  of  the  scope 
and  factors  of  the  examination;  a  statement  of  qualify- 
ing conditions;  and  a  statement  of  the  time  and  place 
of  the  examination,  and  of  the  time  for  filing  applica- 
tions. This  information  should  be  set  out  in  a  form 
intelligible  to  one  entirely  unfamiliar  with  civil  service 
practice  and  regulations. 

Certification  and  Appointment.  The  civil  service  com- 
mission serves  as  an  examining  board,  but  does  not 
actually  appoint  public  employees.  It  prepares  lists  of 
eligible  candidates,  and  in  response  to  requisitions  certi- 
fies those  candidates  to  appointing  officials.  The  heads 
of  the  various  departments  and  bureaus  actually  hire 
or  appoint  public  employees. 

148 


RECRUITING  AND  SELECTION 

The  commission  usually  certifies  three  eligible  can- 
didates for  each  vacancy.  The  administrative  head  then 
appoints  one  of  these  three  candidates.  This  practice  of 
appointing  one  out  of  three  eligible  candidates  is  well 
justified.  The  rule  of  "one  in  three"  is  a  necessary 
means  of  securing  a  proper  location  of  responsibility. 
While  it  insures  the  accomplishment  of  the  main  objects 
of  the  merit  system,  it  allows,  at  the  same  time,  a  certain 
degree  of  liberty  to  the  administrative  head  in  the  se- 
lection of  his  subordinates.  Where  this  rule  is  not 
followed,  a  department  head  cannot  be  held  definitely 
responsible  for  the  work  accomplished  under  his  direc- 
tion. If  employees  are  chosen  directly  in  response  to 
recommendations  of  the  civil  service  commission,  a  de- 
partment head  always  has  a  legitimate  excuse  for  waste 
and  inefifectiveness  in  the  conduct  of  the  business  of  his 
department.  If  the  department  head  is  allowed  to 
choose  one  out  of  three  eligible  candidates,  he  becomes 
in  large  measure  responsible  for  the  choice  of  his  sub- 
ordinate force — in  as  large  a  measure  perhaps  as  is 
feasible  in  public  employment — and  responsible  in  a 
corresponding  degree  for  the  effectiveness  with  which 
the  work  in  his  department  is  accomplished. 

The  practice  of  allowing  the  administrative  head  to 

select  one  of  three  eligible  candidates  is  desirable  in  the 

interest  of  an  effective  selection  of  employees.     No 

method  of  examination  is  infallible.     No  method  of 

examination   yields   correct   results   in   all   cases.     At 

the   same   time   the   judgment   of    the   administrative 

head  is  not  infallible.    It  is  highly  probable  that,  so  far 

as  the  technical  fitness  of.  an  applicant  is  concerned,  the 

judgment  of  the  administrative  head  is  less  reliable  than 

the  recommendation  of  the  civil  service  commission, 

based  on  the  results  of  proper  examining  procedure. 

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PUBLIC  PERSONNEL  ADMINISTRATION 

But  the  judgment  of  the  administrative  head  should  be 
allowed  to  have  decisive  weight  in  one  particular, 
namely,  as  regards  the  personal  qualifications  of  the 
applicant.  The  judgment  of  the  administrative  head  is 
not  necessarily  better  in  this  respect,  but  for  obvious 
reasons  it  should  have  a  determining  influence.  The 
candidate  must  not  only  be  fitted  for  a  certain  line  of 
work,  but  he  must  also  possess  personal  qualities  that 
will  enable  him  to  work  effectively  and  harmoniously  in 
a  given  organization.  The  administrative  head,  under 
certain  restrictions,  should  be  the  judge  of  whether  the 
candidate  possesses  those  qualities.  The  rule  of  "one  in 
three"  usually  enables  him  to  select  with  due  regard  to 
the  factor  of  personal  qualifications. 
K  Administrative  heads  appoint  public  employees  for  a 
period  of  probation,  usually  six  months,  before  making 
a  final  appointment.  The  period  of  probation  is  in- 
tended to  offer  an  opportunity  for  observation  of  the 
actual  work  of  new  employees,  and  thus  to  afford  a 
basis  for  final  decision  as  to  their  fitness  for  public  em- 
ployment. In  practice  the  period  of  approval  or  proba- 
tion is  generally  treated  in  a  perfunctory  manner,  and 
final  appointment  follows  more  or  less  automatically. 
This  practice  is  to  be  deplored.  The  period  of  probation 
should  be  used  as  an  opportunity  to  make  a  real  and  use- 
ful observation  of  the  work  of  new  employees.  It 
should  be  used  as  an  opportunity  to  correct  mistakes  of 
examining  procedure  and  to  refuse  final  appointment  to 
unqualified  employees.  It  should  also  serve  as  an  oppor- 
tunity to  adjust  new  employees  to  their  work,  and,  wher- 
ever a  sufficient  range  of  occupations  exists,  to  fit  new 
employees  to  the  particular  assignment  within  the  line 
and  grade  of  employment  in  question  for  which  they 
show  themselves  to  be  best  qualified. 

150 


CHAPTER  VII 
TRAINING 

In  private  enterprise,  the  instruction  and  training  of 
employees,  after  they  have  been  hired,  is  recognized  as 
an  important  part  of  personnel  administration.  In  the 
civil  service  the  training  of  employees  has  been  given 
comparatively  little  attention.  In  order  to  improve  the 
efficiency  and  morale  of  the  civil  service,  the  systematic 
training  of  the  men  and  w^omen  in  the  service  must  be- 
recognized  as  an  important  employment  function.  But 
before  discussing  this  question  of  the  training  of  em- 
ployees already  in  the  service,  it  will  be  well  to  consider 
the  education  and  training  of  men  and  women  for 
original  entrance  to  the  public  service. 
Training  for  Entrance  to  Public  Employment.  Civil 
service  commissions  are  not  primarily  responsible  for 
the  training  of  men  and  women  for  admission  to  the 
civil  service.  The  educational  agencies  of  the  country 
— the  public  schools,  the  colleges  and  universities,  and 
the  various  private  educational  establishments — are 
primarily  responsible  for  this  training.  However, 
civil  service  commissions  have  a  certain  duty  in  this  con- 
nection. In  order  to  measure  up  fully  to  their  oppor- 
tunities, they  should  cooperate  with  the  educational 
agencies  of  the  country  and  endeavor  to  direct  voca- 
tional education  in  such  a  way  as  to  make  it  productive 
of  men  and  women  who  are  fitted  in  a  high  degree  for 
effective  service  in  government  employment. 

Many  civil  service  employees  do  not  require  any  con- 

151 


PUBLIC  PERSONNEL  ADMINISTRATION 

siderable  degree  of  vocational  training  as  a  preliminary 
to  their  entrance  to  public  employment,  or  at  least  do  not 
need  preliminary  training  of  a  kind  in  any  important 
sense  peculiar  to  the  requirements  of  public  employment. 
For  example,  a  stenographer  in  a  government  depart- 
ment does  not  need  training  essentially  different  from 
that  of  a  stenographer  in  a  private  business  concern.  A 
machinist  who  desires  work  in  a  government  arsenal 
does  not  need  preliminary  training  different  from  what 
he  would  need  in  private  industry.  A  chemist  who  de- 
sires work  in  a  city  health  department  often  does  not 
need  preliminary  training  different  from  what  he  would 
need  in  many  lines  of  industrial  enterprise.  Many 
workers  in  the  government  service  need  preliminary 
training,  but  they  need  only  such  training  as  they  would 
need  in  similar  work  in  private  employment.  The  train- 
ing of  these  workers  presents,  therefore,  no  peculiar 
problem  to  those  interested  in  the  improvement  of  the 
civil  service  personnel. 

But  some  civil  service  employees,  usually  those  who 
occupy  the  higher  positions,  might  well  have  extensive 
preliminary  training  of  a  kind  peculiar  to  the  require- 
ments of  public  employment.  For  example,  some  of  the 
scientific  and  technical  workers  in  government  depart- 
ments may  well  have  special  preliminary  training  of  a 
unique  character. 

Training  designed  to  fit  workers  specially  for  the 
public  health  service  is  now  offered  at  the  Harvard 
Medical  School.  Special  training  for  engineering  em- 
ployees in  the  public  service  is  offered  at  Columbia 
University,  Pratt  Institute,  and  the  Massachusetts  In- 
stitute of  Technology.  Similar  technical  training  is 
offered  in  other  institutions  throughout  the  country. 
Special  training  for  the  work  of  public  administration 

152 


TRAINING 

in  a  more  general  sense  is  now  offered  at  the  state  uni- 
versities of  Wisconsin,  Minnesota,  and  Michigan,  and 
at  other  universities.  Training  for  the  consular  service 
is  offered  at  the  University  of  Virginia.  Training  in 
public  administration,  with  special  reference  to  the 
problems  of  state  and  city  government,  has  been  given 
since  1912  by  the  Training  School  for  Public  Service  of 
the  Bureau  of  Municipal  Research  in  New  York  City, 
now  the  National  Institute  of  Public  Administration. 

The  training  in  public  administration  given  in  these 
schools  includes  subjects  such  as  administrative  law, 
government  accounting,  taxation,  finance  and  budget- 
making,  scientific  management,  public  administration, 
public  works  management,  statistics  and  graphic 
presentation,  preparation  of  reports,  personnel  problem 
in  government,  problem  of  departmental  organization, 
city  planning,  etc. 

These  facilities  might  be  enlarged  by  the  establish- 
ment of  special  schools  devoted  to  the  single  object  of 
preparing  men  and  women  for  admission  to  public  em- 
ployment. The  more  immediately  feasible  way  of  ex- 
tending facilities  for  training  for  the  public  service, 
however,  would  seem  to  lie  in  the  establishment  of  the 
requisite  training  courses  in  existing  schools  and  uni- 
versities. 

Special  training  for  the  public  service  should  be  in 
the  highest  possible  degree  practical.  It  should  avoid 
the  mistake  of  merely  providing  students  with  "book 
learning."  Such  training  will  naturally  include  a 
certain  amount  of  theoretical  study,  but  it  should  also 
include  practical  contact  with  the  processes  of  govern- 
ment administration,  comparable  to  the  shop  work  done 
by  engineering  students  or  clinical  work  done  by  stu- 
dents of  medicine.    To  a  limited  extent  suitable  arrange- 

153 


PUBLIC  PERSONNEL  ADMINISTRATION 

merits  could  be  made  between  educational  agencies  and 
our  various  governments,  whereby  advanced  students 
might  participate  in,  or  at  least  observe  at  close  range, 
the  technical  and  administrative  work  of  government 
departments.  The  practical  experience  gained  by 
students  in  actual  work  in  government  departments 
should  form  an  integral  part  of  their  special  training 
for  the  public  service,  and  should  be  given  definite 
academic  credit. 

To  put  training  for  the  public  service  on  a  practical 
basis,  a  close  contact  should  also  be  established  between 
the  educational  agencies  offering  this  training  and  the 
various  civil  service  commissions  responsible  for  re- 
cruiting government  employees.  At  the  present  time, 
such  contact  is  practically  non-existent.  There  is  very 
little  of  the  cooperation  between  schools  and  govern- 
ment recruiting  agencies  that  is  needed  to  insure  that 
the  training  offered  in  the  schools  is  calculated  to  fit 
young  men  for  the  actual  requirements  of  the  public 
service,  and  to  assure  those  who  have  completed  courses 
of  special  training  that  they  will  find  places  in  govern- 
ment employment.  To  remedy  this  situation,  civil  ser- 
vice commissions  should  furnish  the  proper  educational 
agencies  with  information  concerning  the  qualifications 
and  training  needed  for  the  scientific  and  administrative 
positions  under  their  control,  and  also  with  definite  in- 
formation concerning  the  present  and  probable  future 
demands  for  workers  to  fill  these  positions.  If  this  plan 
is  followed,  the  heads  of  educational  agencies  will  be  in 
a  position  to  give  intelligent  vocational  guidance  to 
those  who  w^ish  to  take  training  for  admission  to  public 
employment.  Civil  service  commissions,  moreover, 
should  do  everything  properly  within  their  power  to 
facilitate  the  placing  of  well  trained  and  well  qualified 

154 


TRAINING 

persons  in  public  employment.  They  cannot  guarantee 
positions  to  graduates  of  educational  institutions,  but 
they  should  depart  from  any  attitude  of  indifference  and 
should  facilitate,  in  every  legitimate  way,  the  transition 
from  training  for  the  public  service  to  actual  employ- 
ment in  public  service.  In  doing  this,  it  goes  without 
saying  that  they  should  not  jeopardize  the  opportunity 
of  qualified  persons  who  have  not  had  special  academic 
training. 

A  system  of  training  for  the  public  service  takes  for 
granted  that  the  public  service  itself  is  genuinely  at- 
tractive. It  is  obvious  that  ambitious  and  capable 
young  men,  who  face  the  need  of  earning  a  livelihood, 
will  not  as  a  general  rule  enter  upon  a  course  of  training 
unless  it  leads  with  reasonable  certainty  to  a  satisfactory 
career,  particularly  as  respects  the  basic  item  of  compen- 
sation. A  system  of  training  lacks  an  efifective  reason 
for  existence  unless  it  leads  to  a  genuinely  attractive 
vocation.  The  public  service  at  the  present  moment 
falls  short  in  several  important  respects  of  being  an 
attractive  calling.  A  system  of  training  for  the  public 
service  will  be  established  on  a  large  scale  and  will 
operate  properly  and  effectively  only  on  condition  that 
the  public  service  itself  be  made  genuinely  attractive. 
Training  for  Increased  Usefulness  in  Public  Employment. 

In  progressive  private  establishments,  "following-up" 
the  worker  after  he  has  been  hired  is  recognized  as  an 
important  employment  function.  This  involves  induct- 
ing the  worker  into  his  new  employment,  the  shifting  of 
old  employees  to  positions  in  which  they  will  be  most 
effective,  and,  in  general,  the  adaptation  of  the  personnel 
to  the  varied  and  changing  requirements  of  the  establish- 
ment in  question.  The  basic  idea  back  of  such  work  is 
that  it  pays  in  dollars  and  cents  to  retain  and  develop 

155 


-  I 


PUBLIC  PERSONNEL  ADMINISTRATION 

the  personnel  of  an  establishment  rather  than  to  re- 
plenish it  continually  by  a  stream  of  new  and  inexpe- 
rienced employees. 

The  follow-up  function  of  the  employment  bureau  resolves 
itself  into  the  difficult  one  of  vocational  guidance.  The  esprit 
de  corps  of  the  entire  plant  depends  on  the  employment  mana- 
ger's skill  in  directing  the  promotion  of  the  employee  as  rapidly 
and  no  more  rapidly  than  his  ability  warrants;  in  adjusting 
causes  of  difference  between  workers  and  foremen;  in  elimi- 
nating general  causes  of  dissatisfaction;  and  in  placing  a  "mis- 
fit" or  failure  where  he  will  "make  good."  It  is  this  function 
which  is  the  most  important,  least  developed,  and  most  inter- 
esting part  of  the  work  of  a  centralized  employment  bureau.^ 

Follow-up  work  includes  as  a  major  function  the  in- 
struction and  training  of  employees.  In  private  enter- 
prise the  training  of  employees  is  now  given  a  large 
amount  of  attention.  It  is  carried  on  extensively  in  so- 
called  corporation  schools  of  three  fairly  distinct  types ; 
namely,  vestibule  schools,  apprenticeship  schools,  and 
vocational  or  training  schools.  The  vestibule  school,  as 
the  name  indicates,  is  an  entry  way  through  which  em- 
ployees pass  for  several  weeks'  training  immediately 
after  their  employment.  The  apprenticeship  school  is 
one  in  which  boys  or  young  men  are  given  thorough 
.training  in  a  trade,  extending  over  a  period  as  long  as 
three  or  four  years.  The  so-called  vocational  or  train- 
ing school  usually  offers  a  fairly  wide  range  of  subjects, 
and  is  intended  to  fit  employees  for  greater  usefulness 
and  advancement  within  the  plant  or  office  in  question. 
The  instruction  usually  occupies  from  three  to  nine 
hours  a  week  and  is  usually  given  after  working  hours, 
in  the  late  afternoon  or  evening. 

To  a  very  limited  extent  the  training  of  employees 

^  "Hiring  and  Firing,"   Metropolitan   Life   Insurance   Company, 
Industrial  Service  Bureau  Bulletin  No.  i,  p.  39. 

156 


TRAINING 

has  been  undertaken  in  civil  service  employment.  This 
training  has  usually  been  undertaken  on  an  independent 
basis  by  the  various  government  departments  concerned. 
In  the  national  service,  the  Bureau  of  Engraving  and 
Printing  has  a  four-year  course  for  apprentices.  The 
Washington  Navy  Yard  also  has  a  course  for  appren- 
tices. The  Bureau  of  Internal  Revenue  conducts  a 
course  for  the  training  of  auditors.  The  Interstate 
Commerce  Commission  conducts  courses  designed  to 
prepare  workers  specially  needed  in  this  organization. 
The  Bureau  of  Standards  conducts  advanced  training 
courses  in  physics,  mathematics,  and  chemistry,  having 
special  reference  to  the  needs  of  the  Bureau.  In  spite 
of  these  efforts  to  provide  special  training  for  workers 
in  the  service  at  Washington,  it  is  estimated  that  "less 
than  lo  per  cent  of  the  offices  and  bureaus  make  any 
systematic  efforts  to  train  new  employees  for  their  work 
or  old  employees  for  greater  efficiency."  ^ 

The  state  governments  have  done  practically  nothing 
to  provide  systematic  training  for  public  employees.^ 

Some  of  the  larger  city  governments  provide  to  a 
limited  extent  for  the  training  of  public  employees. 
Some  of  them  conduct  what  may  be  called  vestibule 
schools  for  the  training  of  members  of  the  hre  and 
police  departments,  and  also  for  the  members  of  the 
various  inspectional  services.  Some  conduct  "ap- 
prenticeship" courses  for  the  preparation  of  trained 
nurses  in  city  hospitals.  New  York  City,  through  the 
agency  of  the  Board  of  Education  and  the  College  of 
the  City  of  New  York,  offers  to  municipal  employees 
special  training  courses  in  bookkeeping,  stenography, 

2  Report  of  the  Congressional  Joint  Commission,  1920,  part  I, 
p.  118. 

^  The  State  of  Wisconsin  is  an  outstanding  exception.  It  has 
made  considerable  progress  in  the  training  of  public  employees. 

157 


PUBLIC  PERSONNEL  ADMINISTRATION 

business  English,  commercial  arithmetic,  algebra, 
municipal  accounting,  and  municipal  statistics.  These 
courses  are  offered  free  of  charge  or  at  nominal  ex- 
pense, and  are  conducted  after  working  hours.  During 
the  past  year  about  450  students  have  been  enrolled  in 
these  courses. 

The  systematic  training  of  the  men  and  women  in  the 
publi"  service  has  not  been  given  the  attention  it  de- 
serve.. It  has  not  been  given  attention  at  all  com- 
parable to  that  given  to  the  training  of  workers  in 
private  employment,  or  the  attention  which  it  must  have,, 
if  the  members  of  the  civil  service  are  to  be  stimulated 
to  their  best  efforts  and  developed  to  the  full  extent  of 
their  capabilities. 

The  vestibule  school  should  be  used  more  extensively 
as  a  means  of  adjusting  the  recruit  to  the  conditions  of 
his  new  employment.  The  apprenticeship  idea  should 
be  applied  more  generally.  Most  important  of  all,  the 
service  or  training  school  should  be  given  a  wider  appli- 
cation. It  should  be  made  a  means  of  adapting  present 
employees  to  new  requirements  of  the  service,  of  facili- 
tating promotion,  of  stimulating  interest  and  en- 
thusiasm, and  generally  of  increasing  the  morale  and 
efficiency  of  public  employment. 

In  the  case  of  the  Washington  service,  a  central 
training  school  for  national  employees  might  be  estab- 
lished. A  recent  report  of  the  Bureau  of  Efficiency  pro- 
poses that  such  a  school  be  established.  Discussing  the 
curriculum  to  be  offered  in  such  a  school,  the  report 
points  out  that  the  government  in  choosing  subjects  of 
instruction  would  be  guided 

by  the  need  of  giving  instruction  fitted  to  its  own  purpose  and 
by  the  desirability  of  avoiding  duplication  of  courses  offered 
by  other  schools.     It  would  not  attempt  to  offer  courses  on 

158 


TRAINING 

general  high  school  and  college  subjects,  such  as  algebra, 
physics,  biology,  economics,  and  the  languages.  Furthermore, 
it  would  not  teach  trade  and  commercial  subjects,  such  as 
mechanical  drawing,  nursing,  or  engineering.  The  govern- 
ment school  should  limit  itself  to  courses  which  are  not  given 
in  other  schools,  or  which  are  taught  in  a  manner  that  leaves 
out  of  consideration  the  particular  needs  of  the  government.^ 

The  report  sugg-ests  the  following-  tentative  schedule 

of  studies:  , 

Bookkeeping  and  elements  of  accounting.  ^ 

Government  accounting. 

Elements  of  statistics. 

Government  statistics. 

Filing  systems  and  labor  saving  devices. 

Government  office  procedure. 

Use  of  business  English. 

Executive  management. 

Organization  of  the  national  government. 

Administrative  law  and  statutory  construction. 

History  of  the  national  government. 

It  is  proposed  that  the  teaching  staff  of  this  school 
be  recruited  from  qualified  members  of  the  civil  service 
in  Washington. 

In  response  to  a  questionnaire  sent  out  by  the  Bureau 
of  Education  in  October,  1918,  over  eleven  thousand 
national  employees  in  Washington  declared  their  inten- 
tion of  enrolling  in  a  government  school  of  the  kind  pro- 
jected. Of  this  number  "8,804  were  willing  to  pay 
tuition  at  the  rate  of  $4  a  month  if  necessary."  About 
half  of  the  total  number  intending  to  enroll  declared 
that  they  wished  instruction  for  the  purpose  of  securing 
further  advancement  in  government  work.  A  training 
school  of  this  kind  might  be  placed  under  the  supervision 
of  the  Civil  Service  Commission,  provided  this  body 
underwent  the  requisite  reorganization. 

*  Senate  Document  No.  246,  Sixty-sixth  Congress,  second  session, 
P-  3- 

159 


PUBLIC  PERSONNEL  ADMINISTRATION 

A  central  training  school,  however,  would  not  be  ade- 
quate to  all  the  needs  of  the  Washington  service.  Many 
of  the  courses  of  advanced  and  highly  specialized  train- 
ing, as  well  as  the  courses  designed  to  introduce  new 
employees  to  their  duties,  will  naturally  have  to  be  given 
by  the  various  departments  and  establishments  con- 
cerned. These  courses  of  training  should  be  subject  to 
a  certain  amount  of  centralized  regulation.  The  power 
to  install  such  courses  of  training,  to  coordinate  them 
and  adjust  them  to  the  needs  of  the  service  as  a  whole, 
might  well  be  placed  in  the  hands  of  the  Civil  Service 
Commission. 

In  the  case  of  a  state  government,  or  of  a  city  or 
other  local  government,  an  independent  training  school 
of  the  kind  discussed  above  is  hardly  feasible  or  neces- 
sary. The  training  school  may  well  take  the  form  of  a 
!J  group  of  courses  given  by  outside  educational  agencies 
under  the  auspices  of  the  government  and  especially 
adapted  to  the  employment  requirements  of  the  govern- 
ment. To  a  certain  extent  special  courses  may  well  be 
given  by  the  various  government  departments.  More- 
over, annual  institutes  or  conferences,  ofifering  several 
weeks'  intensive  training,  may  well  be  conducted  for  the 
benefit  of  special  classes  of  public  employees,  such  as 
plant  engineers,  highway  engineers,  income-tax  assess- 
ors, health  officers,  dairy  and  food  inspectors,  etc. 
Such  "group  schools"  are  now  used  successfully  in  Wis- 
consin, and  might  well  be  conducted  more  generally. 

The  training  intended  for  apprentices,  as  well  as 
that  designed  to  adjust  new  employees  to  their  im- 
mediate duties,  should  be  given  by  the  various  govern- 
ment departments  directly  concerned. 

The  activities  undertaken  by  a  state  or  city  govern- 
ment for  the  training  of  public  employees  should  be 

1 60 


TR.\INING 

placed  under  the  general  direction  of  the  civil  service 
commission.  The  commission  cannot  be  a  training 
agency,  in  the  sense  that  it  actually  gives  training  and 
instruction,  but  it  should  have  the  duty  of  furthering  the 
training  of  public  employees  in  every  way  possible.  It 
should  recommend  and  initiate  courses  of  training,  co- 
ordinate the  training  efforts  made  by  the  different  de- 
partments, and  enlist  the  services  of  outside  educational 
agencies. 

The  training  of  employees  within  the  public  service, 
as  well  as  the  training  of  prospective  entrants  to  the 
public  service,  presupposes  an  effective  motive  or  in- 
centive. Employees  cannot  be  expected  to  manifest  any 
considerable  interest  in  training  for  increased  usefulness 
unless  this  training  leads  to  substantial  rewards  in  the 
form  of  greater  responsibility  and  increased  compensa- 
tion. As  has  been  pointed  out  the  public  service 
generally  does  not  at  the  present  time  hold  out  these 
rewards  to  employees  to  the  extent  that  is  desirable. 
Advancement  and  promotion  are  often  slow  and  un- 
certain; opportunities  for  transfer  from  one  govern- 
ment department  to  another  are  often  surrounded  by 
artificial  and  useless  restrictions.  To  make  training 
within  the  public  service  really  effective  and  to  insure 
the  retention  of  those  who  have  been  specially  trained, 
opportunities  for  transfer,  advancement,  and  promotion 
in  the  public  service  must  be  extended.  Given  this  con- 
dition, and  also  appropriate  provision  for  training,  we 
may  expect  to  see  the  development  of  an  interested,  con- 
tented, and  truly  efficient  civil  service  personnel. 


CHAPTER  VIII 

Rx\TING    AND    CONTROL    OF    INDIVIDUAL 

EFFICIENCY 

The  Problem  of  Efficiency  Ratings.  A  rating  of  in- 
dividual efficiency  is  intended  to  be  a  measurement  of  the 
vahie  of  the  services  rendered  throughout  a  given  period 
of  time  by  an  individual  employee.  It  is  intended  to  be 
objective  and  impersonal,  or  as  nearly  so  as  is  possible. 
Such  a  rating,  in  so  far  as  it  is  truly  objective,  has  ob- 
viously a  considerable  value  in  employment  administra- 
tion. It  affords  the  basis  for  handling  problems  of  re- 
tention and  promotion,  in  the  way  the  rating  on  the 
civil  service  examination  affords  the  basis  for  handling 
the  problem  of  selection. 

A  formal  and  objective  rating  of  individual  effi- 
ciency is  needed  in  any  large  system  of  employment  as  a 
means  of  reducing  to  a  common  denominator  the  value 
of  the  services  of  employees  who  are  often  engaged  on 
highly  specialized  and  divergent  lines  of  work,  and  who 
are  often  without  immediate  contact  with  the  manage- 
ment. In  a  large  system  of  employment,  a  formal 
rating  of  efficiency  is  a  useful  means  of  securing  a  uni- 
form and  enlightened  practice  in  the  retention  and  ad- 
vancement of  employees. 

A  formal  rating  of  individual  efficiency  is  needed 

more  urgently  in  public  than  in  private  employment. 

In  addition  to  the  reasons  that  make  it  useful  in  any 

large  establishment,  an  objective  rating  of  individual 

162 


RATING  OF  EFFICIENCY 

efficiency  is  needed  in  public  employment  because  of 
political  considerations.  Just  as  an  impartial  rating  on 
examinations  is  needed  to  safeguard  the  entrance  to  the 
public  service,  so  an  objective  and  impartial  rating  of 
individual  efficiency  is  needed  to  safeguard  the  processes 
of  advancement  and  promotion  within  the  service  from 
partisan  influence.  An  objective  rating  of  individual 
efficiency  is  needed  as  a  basis  for  the  administration  of 
salary  increases  and  promotions  in  accordance  with  the 
merit  principle. 

This  fact  has  found  general  recognition.  Civil 
service  laws  generally  provide  that  records  of  the  rela- 
tive efficiency  of  public  employees  shall  be  maintained 
and  used  as  the  basis  of  retention,  advancement,  and 
promotion.  In  accordance  with  these  laws  various 
systems  of  determining  and  recording  individual  effi- 
ciency have  been  installed,  sometimes  by  civil  service 
commissions,  sometimes  by  government  departments. 
Many  of  these  systems  have  proved  to  be  more  or  less 
unsuccessful  experiments.  But  the  need  of  a  method  of 
determining  individual  efficiency  is  real  and  urgent ;  and 
it  must  be  met  if  the  administration  of  public  employ- 
ment is  to  be  put  on  a  uniform  and  equitable  basis. 

The  successful  maintenance  of  individual  efficiency 
records  in  public  employment  requires  two  principal 
conditions.  It  requires  a  proper  rating  system;  that  is, 
a  system  that  makes  possible  a  reliable  and  not  too  com- 
plicated measurement  of  individual  efficiency.  The  de- 
vising of  such  a  rating  scheme  or  system  is  essentially 
a  technical  problem,  and  one  of  no  mean  difficulty. 
Moreover,  it  requires  a  properly  conceived  and  properly 
controlled  rating  organization;  that  is,  an  organization 
through  which  individual  cfliciency  ratings  are  initially 

prepared,  reviewed,  recorded  and  applied.  The  estab- 

163 


PUBLIC  PERSONNEL  ADMINISTRATION 

lishment  and  control  of  such  an  organization  is  essen- 
tially a  problem  of  administration,  and  requires  for  its 
solution  the  ready  cooperation  of  the  civil  service  com- 
mission, department  and  bureau  heads,  and  subordinate 
employees. 

The  Rating  System.  In  devising  a  rating  system  it  is 
necessary  to  begin  by  analyzing  the  meaning  of  in- 
dividual efficiency.  If  the  factors  which  enter  into  in- 
dividual efficiency  can  be  determined,  and  if  these  factors 
are  measurable,  the  basis  of  a  fairly  accurate  estimate 
of  individual  efficiency  is  laid. 

The  factors  that  enter  into  individual  efficiency  de- 
pend somewhat  on  the  particular  employment  in  ques- 
tion. It  is  difficult  to  determine  factors  of  efficiency 
that  enter  in  precisely  the  same  way  and  with  precisely 
the  same  weight  into  all  forms  of  employment.  This 
difficulty  can  be  met,  in  part,  at  least,  by  assigning  differ- 
ent weights  to  the  several  factors  of  efficiency  in  the  dif- 
ferent types  of  employment  in  question. 

A  rating  system  to  be  useful  in  public  employment, 
or  indeed  in  any  form  of  employment,  must  meet  the 
primary  requirement  of  simplicity.  A  complicated 
rating  system,  however  scientifically  accurate  it  may  be, 
will  prove  unworkable  when  placed  in  the  hands  of 
rating  officers  throughout  a  large  system  of  employment. 
The  success  of  many  of  the  rating  systems  introduced 
into  public  employment  has  been  greatly  diminished  by 
the  neglect  of  this  primary  consideration. 

The  rating  system  used  by  the  Municipal  Civil  Ser- 
vice Commission  of  New  York  City  is  perhaps  the  most 
successful  in  use  at  the  present  time  in  public  employ- 
ment.^    This  system  is  now  applied  in  rating — three 

^  Regulation  XIII,  of  the  General  Regulations,  Municipal  Civil 
Service  Commission  of  the  City  of  New  York,  1920,  p.  3. 

164 


RATING  OF  EFFICIENCY 

times  annually — the  competitive  personnel  of  all  the  city 
departments,  excepting  the  uniformed  force  of  the  police 
and  fire  departments.  The  system  recognizes  three 
positive  factors  of  efficiency:  (i)  quantity  of  work,  (2) 
quality  of  work,  and  (3)  personality.  In  addition  to 
these,  it  recognizes  as  negative  factors  (4)  unexcused 
lateness  and  absence,  and  (5)  misconduct. 

Quantity  of  work  is  explained  as  including  ''volume 
of  work  output,  speed,  industry;  in  case  of  positions 
partly  or  wholly  supervisory,  the  quantity  of  group  out- 
put." Quality  of  work  is  explained  as  including 
"thoroughness,  accuracy,  system;  initiative,  ingenuity, 
resourcefulness;  improvements  in  technique  and  organ- 
ization of  work;  in  the  case  of  positions  partly  or  wholly 
supervisory,  decisiveness,  force,  poise ;  ability  in  planning 
and  organizing  work  and  in  directing  subordinates; 
quality  of  group  output;  in  the  case  of  positions  involv- 
ing contact  with  the  public  or  with  persons  under  the 
city's  care  or  custody,  tact,  courtesy,  and  other  personal 
elements  affecting  the  quality  of  results."  Personality 
is  defined  as  including,  "willingness,  loyalty,  influence 
on  fellow  workers." 

This  system  provides  for  a  rating  on  a  percentage 
basis.  The  factor  of  quantity  of  work  may  be  given  a 
maximum  rating  of  44  per  cent.  The  factor  of  quality 
of  work  may  also  be  given  a  maximum  rating  of  44  per 
cent.  The  factor  of  personality  may  be  given  a  maxi- 
mum rating  of  12  per  cent.  A  uniform  weight  is  as- 
signed to  each  of  these  factors  in  all  lines  of  employ- 
ment. The  standard  is  fixed  in  the  case  of  the  factors 
of  quantity  and  quality  at  35  per  cent,  and  in  the  case 
of  personality  at  10  per  cent.  An  employee  who  re- 
ceives a  rating  of  standard  in  respect  to  each  of  these 
three  factors  has,  therefore,  a  numerical  standing  of  80 

165   ■ 


PUBLIC  PERSONNEL  ADMINISTRATION 

per  cent.  The  standard  is  explained  as  being  ''the 
normal  performance  of  any  work  which  may  be  properly 
assigned  to  an  employee."  It  represents  the  work  of  the 
great  bulk  of  employees.  The  Commission  requires 
that,  under  ordinary  circumstances,  60  per  cent  of  the 
employees  of  a  large  unit  shall  be  rated  "standard,"  35 
per  cent  above  standard,  and  five  per  cent  below  stand- 
ard. All  ratings  above  or  below  standard  must  be  sup- 
ported by  an  adequate  statement  of  the  facts  of  service 
in  question. 

For  unexcused  lateness  and  absence,  and  mis- 
conduct, deductions  may  be  made  from  the  rating 
awarded  on  the  basis  of  the  three  factors  discussed 
above.  In  making  these  deductions  considerable  dis- 
cretion is  allowed  the  rating  ofhcer.  A  deduction  of 
from  one  to  ten  per  cent  may  be  made  for  each  unex- 
cused lateness  or  absence;  and  a  deduction  of  not  less 
than  one  per  cent  is  required  for  each  specific  act  of  mis- 
conduct, the  maximum  amount  being  left  to  the  discre- 
tion of  the  department.  The  regulations  require  that 
these  deductions  "shall  be  in  proportion  to  the  character 
of  the  employee's  work  and  the  relative  seriousness  of 
the  offense  at  the  time  of  its  occurrence,  due  regard 
being  given  to  its  effect  on  departmental  discipline  and 
efficiency." 

This  system  comes  nearer  to  meeting  the  require- 
ments of  public  employment  than  any  other  system  that 
has  been  proposed.  It  has  the  advantage  of  being  com- 
paratively simple  and  therefore  feasible  when  put  into 
actual  operation.  By  defining  the  percentage  of  em- 
ployees of  a  large  group  that  shall  fall  in  the  three 
classes — standard,  below  standard,  and  above  standard 
— it  establishes  a  basis  for  comparisons  of  individual 
efficiency.     It  employs  a  numerical  scale  that  makes  pos- 

166 


RATING  OF  EFFICIENCY 

sible  an  immediate  combination  of  efficiency  ratings 
with  the  other  ratings  that  enter  into  the  determination 
of  the  standing-  of  an  employee  in  a  promotion  exami- 
nation. Most  important  of  all,  it  is  based  on  a  com- 
paratively sound  analysis  of  the  factors  of  individual 
efficiency.  It  recognizes  the  fact  that  in  estimating  the 
efficiency  of  an  employee  we  are  primarily  interested  in 
the  quantity  and  equality  of  his  output,  that  is,  in  his 
productiveness.  It  avoids  the  mistake  of  analyzing  effi- 
ciency in  terms  of  factors  that  are  of  doubtful  im- 
portance, or  that,  if  important,  are  difficult  or  impossi- 
ble to  measure  objectively.  This  mistake  has  frequently 
been  made  in  devising  rating  systems.  For  example, 
the  system  installed  in  19 14  by  the  Chicago  Civil  Service 
Commission  used  the  four  principal  factors  of  ability, 
activity,  economy,  and  reliability.  The  rating  system 
installed  in  19 14  by  the  Civil  Service  Section  of  Port- 
land (Ore.)  made  use  of  the  three  principal  factors  of 
ability,  effectiveness,  and  personality. 

Ability  as  such  is  a  difficult  thing  for  a  rating  officer 
to  gauge,  and  it  is  not  a  factor  of  primary  importance 
in  making  a  rating  of  efficiency.  In  making  an  effi- 
ciency rating  we  are  directly  interested  not  in  the  ability 
of  an  employee  but  in  his  actual  performance  in  a  given 
position.  The  New  York  rating  system  recognizes  this 
fact  in  selecting  quantity  and  quality  of  work  as  the 
principal  factors  of  efficiency.  This  system  lacks  the 
flexibility  that  would  be  desirable  in  an  ideal  rating 
system.  It  assigns  a  uniform  weight  to  the  various 
factors  of  efficiency  regardless  of  the  kind  of  employ- 
ment in  question.  In  fact,  each  of  the  three  positive 
elements  of  efficiency  plays  a  larger  part  in  some  lines  of 
work  than  in  others.  For  example,  the  factor  of  per- 
sonality is  certainly  more  important  in  executive  work 

167 


PUBLIC  PERSONNEL  ADMINISTRATION  ^ 

than  in  routine  clerical  occupations.  This  considera- 
tion is  recognized  in  the  rating  system  used  by  the  Port- 
land Civil  Service  Commission.  The  Portland  system 
permits  the  assignment  of  different  weights  to  each 
factor  according  to  the  character  of  the  work  in  ques- 
tion. This  device  accomplishes  a  comparatively  close 
adaptation  of  the  rating  system  to  the  peculiarities  of 
the  various  classes  of  employment.  It  must  be  used 
with  caution,  however,  or  the  rating  system  will  become 
too  complicated  for  practical  purposes. 
The  Rating  Organization.  The  civil  service  administra- 
tion should  exercise  a  general  supervision  and  control 
over  the  installation  of  rating  systems.  In  some  cases, 
particularly  in  the  national  government,  the  several 
departments  have  installed  rating  systems  on  their 
own  initiative.  There  is  no  objection  to  this,  but  it  is 
desirable  that  the  work  of  installing  rating  systems  be 
undertaken  in  cooperation  with  the  civil  service  com- 
mission to  the  end  that,  as  far  as  varying  conditions 
permit,  uniformity  shall  prevail.  Certainly,  the  civil 
service  commission  should  have  the  responsibility  of 
seeing  that  proper  rating  systems  are  employed,  and  of 
taking  the  initiative  in  this  matter. 

Moreover,  the  civil  service  commission  should  have 
powers  of  supervision  and  control  over  the  actual  opera- 
tion of  the  rating  system. 

In  carrying  out  this  work  of  supervision  and  con- 
trol, the  civil  service  commission  in  a  large  jurisdiction 
requires  the  services  of  a  special  efficiency  staff,  members 
of  which  keep  in  constant  touch  with  rating  officers,  and 
represent  the  commission  on  the  various  personnel  com- 
mittees responsible  for  the  review  and  certification  of 
ratings. 

An  officer  or  employee  who  is  in  fairly  immediate 

168 


RATING  OF  EFFICIENCY 

contact  with  the  employees  to  be  rated,  and  who  is  thor- 
oughly familiar  with  the  circumstances  of  their  service, 
should  prepare  the  initial  ratings  of  individual  efficiency. 
He  is  ordinarily  known  as  the  "rating  officer."  The 
rating  officer  should  be  designated  by  the  service  head. 
It  is  desirable  to  select  a  rating  officer  who  in  all  proba- 
bility will  not  compete  at  any  time  in  a  promotion  ex- 
amination with  the  employees  whom  he  is  required  to 
rate.  The  degree  of  fairness  and  insight  shown  by  the 
rating  officer  in  assigning  efficiency  ratings  should  be 
taken  into  account  in  the  determination  of  his  own  ef- 
ficiency. 

In  the  case  of  a  large  organization,  the  rating  officer 
should  cooperate  with  a  representative  of  the  civil  ser- 
vice commission.  He  should  be  guided  by  instructions 
and  suggestions  from  the  commission.  These  instruc- 
tions should  be  issued,  wherever  possible,  in  printed 
form,  and  should  contain  a  definite  explanation  of  the 
factors  and  standards  to  be  used  in  determining  effi- 
ciency ratings. 

In  most  cases  it  is  desirable  that  a  committee  or 
board  should  review,  and  where  necessary,  modify  the 
initial  ratings  prepared  by  the  rating  officer.  There  is 
an  advantage  in  having  the  reviewing  committee  or 
board  contain  a  representative  of  the  civil  service  com- 
mission. The  New  York  City  regulations  provide  that 
this  representative  "shall  be  ex-officio  member  without 
vote  of  every  bureau  committee  and  inter-bureau  com- 
mittee and  of  the  personal  board  of  such  department, 
and  shall  be  notified  by  writing  in  advance  of  all  meet- 
ings of  such  committees  and  board."  ^ 
Preparation  of  Ratings.  Efficiency  ratings  are  some- 
times prepared  by  using  a  separate  form  for  each  in- 


2  Ibid.,  p.  5- 


169 


PUBLIC  PERSONNEL  ADMINISTRATION 

dividual.  Sometimes  they  are  prepared  on  a  form  that 
shows  the  ratings  of  all  the  employees  of  an  organization 
unit.  The  New  York  City  Commission  requires  ratings 
on  separate  forms  for  all  employees  who  are  rated  above 
or  below  standard.  It  permits  the  submission  of  a  list 
of  all  the  employees  of  a  department  whose  services  are 
rated  at  standard.  This  plan  is  a  convenient  one.  It 
requires  the  submission  of  detailed  ratings  only  in  the 
case  of  employees  who  fall  below  or  above  the  standard, 
that  is,  in  the  case  of  about  40  per  cent  of  the  total 
number  of  employees.  Ratings  should  be  made  at 
definite  intervals  throughout  the  year.  Experience  has 
shown  that  ratings  should  not  be  required  too  fre- 
quently. Where  they  are  required  as  frequently  as  once 
a  month  the  preparation  of  ratings  tends  to  degenerate 
into  an  entirely  perfunctory  procedure.  Efficiency 
ratings,  after  they  have  been  prepared  and  finally  re- 
viewed, should  be  open  to  the  inspection  of  the  civil 
service  commission. 

Inspection  of  Ratings  by  Employees.  Each  employee 
should  be  allowed  to  inspect  his  own  rating,  and  also  the 
ratings  of  fellow  employees  with  whom  he  may  be  ex- 
pected to  compete  for  promotions.  He  should  also  have 
the  right  of  asking  that  the  matter  of  his  rating  be 
reopened.  In  extreme  cases  the  matter  might  be  called 
to  the  attention  of  the  civil  service  commission. 
The  New  York  City  regulation  covering  this  point  is 
stated  as  follows :  ^ 

Said  appeal  shall  be  in  duplicate  and  shall  set  forth  the 
facts  establishing  the  candidate's  claim  to  a  different  rating. 
Upon  receiving  said  appeal  a  copy  thereof  shall  be  transmitted 
by  the  Civil  Service  Commission  to  the  Personnel  Board  which 
shall  within  ten  days  thereafter  file  with  the  Commission  its 

^  Ibid.,  p.  6. 

170 


RATING  OF  EFFICIENCY 

written  answer  thereto.  Upon  said  appeal  and  the  answer 
thereto  the  Commission  shall  make  such  ruling  as  justice  re- 
quires. 

It  is  very  much  of  a  question,  however,  whether  in 
the  case  of  many  governments  any  such  powers  should 
be  vested  in  the  Civil  Service  Commission.  In  most 
cases  it  is  sufficient  that  the  commission  have  the  power 
of  inspection  and  making-  known  its  conclusions. 
The  Use  of  Efficiency  Ratings.  Efficiency  ratings,  if 
they  are  sufficiently  reliable,  may  be  applied  in  a 
number  of  important  ways  in  the  administration  of 
public  employment.  They  may  be  used  in  checking  up 
the  effectiveness  of  examining  procedure.  If  investi- 
gation shows  that  the  employees  who  receive  the  highest 
efficiency  ratings  are  also  those  who  received  the  highest 
ratings  in  the  entrance  examination,  it  is  proper  to  con- 
clude that  the  examining  procedure  is  effective;  and 
conversely,  if  the  contrary  is  shown  it  is  proper  to  con- 
clude that  the  examining  procedure  is  lacking.  Civil 
service  laws  generally  provide  that  ratings  of  efficiency 
shall  be  used  in  determining  questions  of  retention  and 
dismissal.  Failure  to  attain  a  fair  standard  of  efficiency 
should  be  a  ground  for  dismissal  from  the  service. 
Ratings  of  individual  efficiency,  of  course,  play  a  con- 
siderable part,  and,  under  ideal  conditions,  should  play 
a  very  important  part  in  determining  the  advancement 
and  promotion  of  employees. 

Where  efficiency  ratings  are  fairly  and  intelligently 
prepared,  and  where  they  are  used  in  the  manner  out- 
lined above,  they  exercise  a  valuable  influence  on  the 
personnel  of  the  establishment  in  question.  They  be- 
come positive  factors  in  the  encouragement  of  effi- 
ciency. They  prodtice  throughout  the  service  a  feeling 
that  the  character  of  the  work  done  by  each  individual 

171 


PUBLIC  PERSONNEL  ADMINISTRATION 

is  given  close  attention,  and  that  good  work  receives 
just  recognition  and  appropriate  rewards.  In  this  way, 
efficiency  ratings,  apart  from  being  records  of  past  per- 
formance, are  useful  instruments  for  the  maintenance 
of  high  standards  of  individual  and  group  efficiency. 


CHAPTER  IX 

ADVANCEMENT  AND  PROMOTION 

The  Problem  of  Promotion.  In  a  large  and  well  con- 
ducted system  of  private  employment,  promotion  has  a 
threefold  significance.  It  is  of  direct  value  to  the 
management  as  a  means  of  recruiting  workers  for  the 
higher  positions;  it  permits  the  selection  of  workers  for 
the  higher  positions  on  the  basis  of  extended  observa- 
tion; and  it  ensures  the  utilization  of  the  experience 
and  training  gained  through  a  period  of  employment. 
To  the  employee  promotion  is  of  direct  significance 
as  a  reward,  or  possible  reward.  Actual  promotion  is 
a  reward,  while  the  opportunity  for  promotion  is  a  pos- 
sible reward,  something  still  in  the  future  but  never- 
theless a  matter  of  considerable  significance.  Finally, 
promotion  is  of  direct  significance  to  the  management, 
inasmuch  as  the  rewards  given  to  employees  and  the 
incentive  held  out  to  them  react  in  important  ways  on 
practically  all  of  the  phases  of  employment  administra- 
tion. The  actual  promotions  given  to  employees  tend 
to  create  a  contented,  stable,  and  efficient  personnel. 
The  opportunities  for  promotion  held  out  to  employees 
have  a  similar  effect.  They  operate  as  fundamental 
and  far-reaching  incentives.  They  affect  the  success 
with  which  suitable  workers  are  originally  recruited; 
they  determine  in  large  part  the  success  with  which  em- 
ployees are  retained;  they  affect  the  efforts  of  employees 
in  the  direction  of  training  and  self-improvement ;  they 
affect  the  maintenance  of  proper  discipline;  they  dc- 

^7Z 


>  PUBLIC  PERSONNEL  ADMINISTRATION 

termine  in  large  part  the  good  will  and  enthusiasm  that 
prevail  within  the  organization;  and  they  determine  in 
large  part  the  standards  of  efficiency  that  are  accepted 
and  maintained. 

In  the  public  service,  promotion  is  in  an  unsatis- 
factory condition.  It  is  unsatisfactory  when  considered 
in  comparison  with  private  enterprise,  and  also  when 
considered  with  reference  to  what  might  be  done  in  the 
public  service  itself.  Governments  do  not  avail  them- 
selves fully  of  promotion  as  a  means  of  recruiting 
workers  for  the  higher  positions  in  government  employ- 
ment. They  disregard  in  this  respect  one  of  the  obvious 
principles  of  successful  management.  They  do  not  in 
any  systematic  way  base  the  selection  of  workers  for  the 
higher  and  more  responsible  posts  on  the  observation 
made  possible  by  an  extended  period  of  employment; 
and  they  do  not  utilize  to  the  fullest  extent  the  training 
and  experience  gained  by  workers  in  public  employ- 
ment. Instead,  they  follow  too  generally  the  policy  of 
filling  the  higher  positions  in  the  public  service  by  re- 
cruiting from  outside  the  service  workers  who  are  too 
frequently  chosen  with  regard  to  their  political  affilia- 
tion rather  than  with  regard  to  their  superior  qualifica- 
tions. 

Nor  do  public  employees  themselves  generally  re- 
ceive the  merited  rewards  of  faithful  service  and  in- 
creased usefulness.  They  may  enter  the  public  service 
filled  with  a  high  degree  of  enthusiasm  for  their  work, 
only  to  meet  with  disappointment  and  disillusionment 
when  they  realize  fully  the  fact  that  the  public  service 
ofifers  little  opportunity  for  advancement.  Many  have 
been  compelled  by  this  circumstance  to  leave  the  public 
service,  and  to  find  employment  on  more  advantageous 
terms  in  private  enterprise.     Many  who  have  remained 

174 


ADVANCEMENT  AND  PROMOTION 

in  the  public  service  have  been  made  to  bear  an  un- 
warranted amount  of  hardship. 

As  a  consequence,  our  various  governments  fail  to 
derive  the  important  indirect  benefits  that  would  result 
from  a  well  planned  and  well  conducted  system  of  pro- 
motion. Instead,  they  suffer  all  the  evils  that  follow  in- 
directly from  a  neglect  of  the  important  problem  of  the 
advancement  and  promotion  of  public  employees. 

The  fact  that  public  employment  does  not  hold  out 
the  prospect  of  promotion  as  the  reward  of  faithful 
service  and  increased  usefulness  has  a  marked  retro- 
active effect  on  all  the  processes  of  personnel  adminis- 
tration. It  has  a  discouraging  eft'ect  on  recruiting. 
It  tends  to  deter  ambitious  and  capable  workers  from 
entering  the  public  service.  It  frequently  causes  the 
better  type  of  worker  to  leave  the  public  service  for 
work  in  the  field  of  private  enterprise.  It  discourages 
workers  from  entering  upon  courses  of  training  calcu- 
lated to  prepare  them  for  increased  usefulness  in  public 
employment.  It  makes  difficult  the  maintenance  of 
discipline  and  of  good  will  and  enthusiasm  throughout 
government  establishments.  As  a  result  it  renders 
difficult  the  maintenance  of  high  standards  of  individual 
and  group  efficiency. 

This  situation  is  due  in  the  main  to  two  underlying 
conditions:  the  small  number  of  opportunities  for  pro- 
motion that  actually  exist  in  our  systems  of  public  em- 
ployment and  the  faulty  methods  by  which  promotion  is 
frequently  administered. 

The  first  requisite  of  any  radical  improvement  of 
the  public  service  with  regard  to  promotion  is,  therefore, 
an  extension  of  the  opportunities  for  promotion  actually 
existing  in  our  systems  of  public  employment.  This 
extension  of  opportunities   encounters   certain   natural 

175 


PUBLIC  PERSONNEL  ADMINISTRATION 

limitations.  Writing  with  particular  regard  to  the 
federal  service,  Lewis  Mayers  has  recently  drawn  at- 
tention to  the  fact  that 

the  quantity  of  routine,  specialized,  regimented  operations  re- 
quired is  so  vastly  in  excess  of  the  creative,  executive,  or  other 
individual  activities,  that  for  the  great  mass  of  federal  em- 
ployees, as  for  the  great  mass  of  industrial  workers,  there  can 
be  no  prospect  of  even  ultimate  ascent  to  posts  of  even  inter- 
mediate responsibility  and  importance.  For  the  great  mass  a 
long  future  in  the  federal  service  cannot,  in  the  nature  of  the 
case,  offer  anything  worthy  to  be  called  a  career.  ^  The  best 
that  it  can  hope  to  offer  is  security,  adequate,  and,  within  fairly 
narrow  limits,  increasing,  compensation,  and  the  sense  of  use- 
ful work  faithfully  done.^ 

A  system  of  public  employment  necessarily  includes 
many  more  positions  involving  only  routine  and  special- 
ized operations  than  positions  involving  creative  and  in- 
dividual activity  and  correspondingly  higher  rates  of 
compensation.  Private  employment  does  the  same. 
But  public  employment,  in  the  nature  of  the  case,  offers 
fewer  opportunities  for  promotion  to  positions  of  first- 
rate  importance  than  does  private  enterprise,  and  no 
opportunities  at  all  of  promotion  to  positions  involving 
extremely  high  rewards  in  terms  of  remuneration. 
This  circumstance  is  inherent  in  the  nature  of  govern- 
ment employment.  But,  admitting  these  limitations, 
much  may  be  done  to  bring  about  an  extension  of  the 
opportunities  for  promotion  in  our  systems  of  public 
employment.  The  present  opportunities  for  advance- 
ment and  promotion  in  the  public  service  are  needlessly 
restricted;  they  may  be  substantially  extended  by  the 
adoption  of  suitable  measures  by  legislative  bodies, 
civil   service   commissions   and   administrative   officers. 

1  Mayers,    "Some    Phases    of    the    Federal    Personnel    Problem," 
American  Political  Science  Review,  May,  1920,  vol.  xiv,  p.  235. 

176 


ADVANCEMENT  AND  PROMOTION 

The  second  requisite  of  any  marked  improvement  of 
the  public  service  in  respect  to  advancement  and  pro- 
motion is  the  introduction  of  fair  and  effective  methods 
for  the  administration  of  advancements  and  promotions. 
This  calls  for  a  conscientious  enforcement  of  the  merit 
principle,  and  also  for  the  devising-  of  a  technique  suited 
to  determine  the  fitness  of  employees  for  advancement 
and  for  promotion  to  the  higher  positions  in  the  public 
service. 
The  Distinction  between  Advancement  and  Promotion. 

In  ordinary  usage  the  terms  ''advancement"  and  "pro- 
motion" are  regarded  as  synonymous.  In  civil  service 
practice  no  distinction  between  these  particular  terms  is 
universally  recognized.  But  many  civil  service  officers, 
as  well  as  others  who  are  engaged  in  the  work  of  putting 
the  civil  service  on  a  business-like  and  efficient  basis, 
have  for  some  time  recognized  the  need  of  drawing  a 
distinction  between  appointment  to  a  position  of  higher 
rank  and  mere  increase  in  salary.  The  New  York  State 
Report  of  191 6  and  the  recent  report  of  the  Congres- 
sional Joint  Commission  emphasize  this  fundamental 
distinction  and  indicate  it  by  the  terms  "promotion"  and 
advancement. 

A  promotion  is  a  change  from  one  class  (or  grade) 
of  position  to  a  higher  class  (or  grade)  of  position.  It 
implies  that  the  employee  in  question  is  given  a  new  civil 
service  title,  that  he  assumes  new  duties  and  receives 
increased  compensation.  An  advancement  is  merely  an 
increase  or  advance  in  salary.  It  does  not  involve  a  new 
title  or  the  assumption  of  a  different  kind  of  duties.  To 
the  public  employee,  advancement  and  promotion  may 
represent  substantially  the  same  thing,  in  so  far  as  they 
both  mean  to  him  the  opportunity  which  the  public  ser- 
vice offers  for  increased  compensation.     They  involve, 

177 


PUBLIC  PERSONNEL  ADMINISTRATION 

however,  widely  different  problems  of  basic  organiza- 
tion and  of  administration. 

Provision  for  Advancement.  The  creation  of  oppor- 
tunities for  advancement  in  the  sense  just  defined  is  pos- 
sible only  in  connection  with  a  program  of  classification 
and  salary  standardization.  Provision  for  advance- 
ment within  a  given  class  (or  grade)  of  employment 
can  be  made  only  where  the  various  positions  of  a  system 
of  public  employment  have  been  scientifically  classified 
according  to  work  requirements ;  that  is,  only  where  all 
positions  involving  essentially  the  same  duties  have  been 
put  in  one  class  and  have  been  made  the  subject  of 
similar  treatment  as  regards  terms  and  conditions  of 
employment.  Where  the  positions  have  been  so  classi- 
fied, provision  for  advancement  in  salary  without  change 
of  position  may  be  made  by  assigning  to  each  class  of 
position  a  range  of  compensation  that  includes  a  mini- 
mum and  a  maximum  rate  and,  where  practicable,  one 
or  more  intermediate  rates. 

Provision  for  increase  in  salary  without  promotion 
to  a  higher  class  of  position  should  include  also  appro- 
priate machinery  whereby  salary  increases  may  be 
granted  at  definite  intervals  on  the  basis  of  length  of 
service  and  increased  efficiency. 

Administration  of  Advancement.  Heads  of  government 
departments  now  administer  salary  increases,  as  well  as 
promotions  proper,  with  little  regard  to  the  nominal  con- 
trol by  civil  service,  commissions.  Administrative  heads 
should  be  directly  responsible  for  the  granting  of  salary 
increases,  though  they  should  act  in  this  matter  under 
the  general  supervision  of  the  civil  service  commission 
in  question.  Under  the  arrangement  here  discussed, 
administrative  heads  would  be  restricted  in  the  granting 

of  salary  increases  to  the  limits  defined  for  the  various 

178 


ADVANCEMENT  AND  PROMOTION 

classes  in  the  schedules  of  compensation  adopted  by  the 
legislative  body.  They  would  also  be  governed  in  the 
granting  of  salary  increases  by  the  efficiency  ratings  of 
the  employees  under  their  supervision;  and  the  practi- 
cal success  of  the  scheme  of  automatic  salary  increases 
would  depend  in  large  part  on  the  care  with  which 
records  of  individual  efficiency  are  maintained.  Ad- 
ministrative officers  will  also  be  required  to  administer 
salary  increases  on  a  uniform  and  equitable  basis,  rec- 
ognizing superior  efficiency  by  appropriate  rewards  in 
terms  of  increased  compensation. 

Discussing  the  operation  of  a  plan  of  automatic  sal- 
ary increases,  the  report  of  the  Congressional  Joint 
Commission  says:^ 

It  is  the  belief  of  the  Commission  that  an  employee  on 
entering  any  class  should  be  paid  the  minimum  rate  prescribed 
for  that  class,  and  should  be  advanced  through  the  inter- 
mediate rates  to  the  maximum  only  on  the  basis  of  demon- 
strated efficiency.  Furthermore,  the  Commission  believes  that 
with  successive  salary  advancements,  the  standard  of  required 
efficiency  should  be  increased  so  as  to  enable  only  the  most 
efficient  employees  to  secure  the  maximum  rate.  Thus,  if  four 
rates  of  pay  were  provided  for  a  given  class,  an  efficiency  rating 
of  80  per  cent  might  be  required  for  advancement  from  the 
minimum  to  the  next  higher  rate,  85  per  cent  to  the  next 
higher,  and  90  per  cent  to  the  maximum. 

The  report  continues : 

Failure  on  the  part  of  any  employee  to  maintain  the  stand- 
ard of  efficiency  set  for  the  rate  being  paid  should  be  followed 
by  his  reduction  to  a  lower  salary  rate  in  the  same  class,  the 
rate  to  be  determined  by  his  efficiency  rating;  while  failure  at 
any  time  to  maintain  a  minimum  standard  of  efficiency  as  pre- 
scribed by  the  Civil  Service  Commission  should  be  followed 
by  dismissal. 

2  Report  of   the   Congressional  Joint   Commission,   1920,   part   I, 
p.  124. 

179 


PUBLIC  PERSONNEL  ADMINISTRATION 

The  plan  of  automatic  salary  increases  takes  account 
of  the  fact  that  in  many  lines  of  work  the  public  em- 
ployee cannot  reasonably  expect  rapid  promotion  to  a 
higher  class  of  position,  but  that  he  should  be  able  to 
look  forward  with  reasonable  certainty  to  salary  in- 
creases at  definite  intervals.  It  goes  a  great  way  to- 
wards overcoming  the  deadening  effect  of  the  stationary 
rates  of  pay  all  too  prevalent  in  public  employment. 

This  plan  of  automatic  salary  increases  has  been 
tried  out  in  some  civil  service  jurisdictions,  and  where- 
ever  it  has  been  put  into  force  it  has  had  a  distinctly 
beneficial  effect  on  the  morale  and  ef^ciency  of  the  public 
service. 

Provision  for  Promotion.  The  extension  of  oppor- 
tunities for  promotion  must  also  be  based  in  large  part 
on  measures  that  go  to  make  up  a  scheme  of  classifica- 
tion and  standardization.  In  one  important  respect, 
however,  an  enlargement  of  the  opportunity  for  pro- 
motion in  the  public  service  depends  on  another  con- 
dition. It  depends  on  a  thorough  application  of  the 
merit  principle.  The  opportunity  for  promotion  open 
to  the  more  capable  and  ambitious  members  of  the 
public  service  would  be  materially  increased  if  the 
higher  posts,  as  well  as  many  posts  of  intermediate  im- 
portance that  are  now  treated  as  "exempt,"  were  placed 
in  the  classified  service  and  treated  as  subject  to  exam- 
ination requirements. 

Provision  for  an  adequate  system  of  promotion  must 

include  a  series  of  job  specifications  as  well  as  a  series 

of  definitions  of  all  the  classes  of  jobs  or  positions  in  the 

system  of  employment  in  question  in  terms  of  the  work 

involved  and  the  educational  and  other  qualifications 

required.     Such  a  series  of  job  specifications  reveals  at 

once  the  generic  functional  relations  between  the  various 

i8o 


ADVANCEMENT  AND  PROMOTION 

jobs  of  the  system  of  employment  in  question.  It  makes 
possible  an  understanding  of  the  natural  lines  of  pro- 
motion within  a  system  of  employment ;  that  is,  the  lines 
of  promotion  that  lead  to  a  given  position  and  lead  from 
it  to  higher  and  more  responsible  positions.  A  stand- 
ardization provides  this  necessary  groundwork  of  an 
adequate  system  of  promotion. 

Provision  for  an  adequate  system  of  promotion  must 
also  include  a  reasonably  close  correlation  between  the 
duties  of  various  positions  and  the  compensation  at- 
tached to  them.  It  must  include  that  degree  of  co- 
relation  which  insures  that  as  the  duties  of  positions 
become  more  arduous  and  more  valuable  the  pay  at- 
tached to  them  shall  increase  in  something  like  the  same 
proportion.  This  seems  obvious  as  a  principle  of  effi- 
cient management.  At  the  same  time  it  is  true  that  in 
public  employment  this  principle  often  is  not  put  into 
practice.  It  frequently  happens  in  public  employment 
that  a  position  involving  fairly  difficult  and  valuable 
services  is  paid  at  a  rate  equal  to  or  even  less  than  other 
positions  involving  less  difficult  and  less  valuable  ser- 
vices. This  circumstance  has  been  in  large  part  re- 
sponsible for  the  fact  that  it  has  generally  been  im- 
possible in  public  employment  to  administer  promotion 
on  an  equitable  and  business-like  basis. 

An  effective  handling  of  the  problem  of  promotion 
in  the  public  service  requires  provision  for  inter-de- 
partmental promotion.  The  definition  of  classes  of 
positions  in  functional  terms  and  the  standardization 
of  salaries  throughout  an  entire  system  of  employ- 
ment virtually  imply  a  provision  of  this  character. 
Unfortunately  these  measures  of  standardization  have 
by  no   means   been   universally   adopted.     Under   the 

conditions  that  have  generally  existed,  promotion  from 

i8i 


PUBLIC  PERSONNEL  ADMINISTRATION 

a  position  in  one  government  department  to  a  higher 
position  in  another  department  has  been  of  rare  oc- 
currence. Indeed,  civil  service  laws  have  generally 
provided  that  promotion  shall  be,  as  far  as  practic- 
able, from  the  lower  grades  or  classes  within  the  de- 
partment, bureau,  or  institution  in  which  a  vacancy  has 
arisen.  In  the  case  of  some  classes  of  positions,  par- 
ticularly those  requiring  familiarity  with  executive 
practice,  this  rule  may  have  a  certain  justification;  but 
in  the  case  of  many  types  of  positions,  particularly  those 
involving  duties  of  a  clerical  nature,  it  has  led  to  un- 
fortunate results  in  public  employment. 

The  practice  of  discouraging  inter-departmental 
promotion  has  often  led  to  marked  inequality  in  the  aver- 
age rate  of  advancement  and  promotion  in  the  several  de- 
partments of  a  government.  In  New  York  State  it  was 
found  that  "the  average  rapidity  of  advancements  for 
employees  recruited  from  the  same  or  similar  eligible 
lists,  with  similar  qualifications,  and  performing  the 
same  kind  of  work,  differs  so  widely  in  the  several  de- 
partments that,  whereas  the  employees  of  some  depart- 
ments are  advanced  with  undue  rapidity  and  without 
adequate  preliminary  training,  those  in  other  depart- 
ments receive  wholly  inadequate  recognition."  ^  Clerks 
in  six  of  the  principal  state  departments  remained  in  one 
salary  grade  before  being  advanced  to  the  grade  next 
higher  according  to  the  following  averages: 

Finance  Department 6^  months 

Education  Department  , I9)4  months 

Health  Department  7j^  months 

Insurance  Department , 6  months 

Labor  Department 5J4  months 

State  Department   11%  months 

^  New  York  Senate  Committee,  Report  on  Civil  Service,  1916,  p. 
xix. 

182 


ADVANCEMENT  AND  PROIMOTION 

It  may  be  seen  readily  that  employers  in  the  De- 
partment of  Education  and  in  the  Department  of  State 
were  receiving  much  less  consideration  in  the  matter  of 
promotion  than  their  fellow-workers  in  more  fortu- 
nately situated  departments.  This  state  of  affairs  nec- 
essarily has  an  unfortunate  eft'ect  on  both  the  morale 
and  working  efficiency  of  the  public  service. 

A  plan  that  permits  inter-departmental  promotion 
opens  up  the  opportunity  for  growth  and  development 
to  all  properly  qualified  members  of  a  system  of  public 
employment  regardless  of  the  organization  unit  in  which 
they  were  originally  appointed.  It  relieves  the  situation 
of  those  who  have  found  their  way  in  what  would  other- 
wise prove  "blind  alley"  occupations.  It  removes  a 
frequent  cause  of  unrest  and  dissatisfaction  and  tends 
to  promote  materially  the  morale  of  the  public  service. 
By  opening  up  the  opportunity  to  compete  for  the  higher 
positions  to  all  qualified  members  of  the  service  it  in- 
sures a  larger  field  from  which  to  choose  workers  for  the 
higher  positions  and  increases  accordingly  the  chances 
of  finding  workers  who  are  well  qualified  and  competent 
to  occupy  the  higher  positions. 

Closely  connected  with  the  question  of  inter-depart- 
mental promotion  is  that  of  transfer  from  one  de- 
partment to  another.  The  transfer  is  not  in  itself 
a  promotion,  but  it  may  be  a  means  to  subsequent 
promotion.  At  the  present  time  transfer  from  one  de- 
partment to  another  is  usually  extremely  difficult  to 
accomplish.  This  is  particularly  true  in  the  national 
service  at  Washington,  where  an  employee  is  not  or- 
dinarily transferred  out  of  a  department  until  he  has 
worked  in  it  for  a  period  of  three  years.  Where  the 
salaries  paid  throughout  a  system  of  public  employment 
have  been  standardized,  a  high  degree  of  freedom  of 

183 


PUBLIC  PERSONNEL  ADMINISTRATION 

transfer  from  one  department  to  another  will  not  ordi- 
narily be  abused.  In  line  with  practice  in  progressive 
private  employment,  it  should  be  permitted  as  a  means  of 
adjusting  the  personnel  to  the  varied  requirements  of 
the  public  service  and  of  facilitating  individual  develop- 
ment and  promotion. 

Any  plan  for  the  substantial  enlargement  of  the  op- 
portunity for  promotion  in  the  public  service  must  in- 
clude a  provision  for  the  systematic  retirement  of  public 
employees.  Where  no  retirement  system  is  in  opera- 
tion, the  older  employees  often  remain  in  the  serv- 
ice, and  often  in  the  higher  positions,  long  after  the 
period  of  maximum,  or  even  moderate,  usefulness  has 
passed.  Administrative  officers  are  usually  unwilling  to 
remove  them,  and,  under  the  circumstances,  they  may 
be  justified  on  humanitarian  grounds.  The  effect  of 
this  situation  on  the  opportunity  for  promotion  in  the 
public  service  is  obvious. 

The  opportunity  for  promotion  in  the  public  service, 
furthermore,  may  be  extended  indirectly  by  suitable 
provision  for  the  training  of  public  employees.  Strictly 
speaking,  the  opportunity  for  promotion  implies  not  only 
existing  vacancies,  but  also  preparation  for  the  occu- 
pancy of  these  vacancies.  In  a  sense,  preparation  for 
promotion  is  the  immediate  business  of  the  employee 
concerned.  In  a  wider  view  it  is,  at  the  same  time,  the 
business  of  the  employer.  As  pointed  out  in  Chapter 
VI  there  are  certain  limitations  to  what  a  govern- 
ment may  practically  undertake  to  do  in  the  way 
of  preparing  its  employees  for  promotion.  In  certain 
circumstances,  however,  a  government  may  well  under- 
take to  provide  training  designed  to  prepare  its  em- 
ployees for  increased  usefulness  and  for  eventual  pro- 
motion.    In  providing  directly  or  arranging  for  special 

184 


ADVANCEMENT  AND  PROMOTION 

training  of  its  employees,  a  government  will  promote 
its  own  interests,  in  the  sense  that  it  will  further  the 
development  and  proper  placement  of  its  personnel.  It 
will  also  promote  the  interests  of  its  employees  by  open- 
ing up  to  them  a  greater  opportunity  for  self -develop- 
ment and  for  a  permanent  and  satisfactory  career  in 
public  employment. 

The  chance  of  promotion  may  also  be  increased  by 
facilitating  the  movement  of  employees  from  the  higher 
positions  in  the  service  of  one  government  to  similar  or 
better  positions  in  the  service  of  another.  Such  fa 
movement  will  create  vacancies  in  the  service  in  which 
the  persons  in  question  were  employed;  and  it  will  also 
enable  the  persons  concerned  to  work  out  a  satisfactory 
career  in  the  public  service.  Transfer  of  this  kind  from 
one  government  to  another  might  well  be  encouraged 
in  this  country.  As  a  beginning,  the  movement  of 
municipal  employees  from  one  jurisdiction  to  another  in 
the  same  state  might  be  facilitated.  There  is  no  good 
reason  why  the  movement  of  public  employees  between 
different  states  or  between  states  and  the  national 
government  should  not  also  be  permitted  and  en- 
couraged. 

Administration  of  Promotion.  The  actual  filling  of 
the  higher  positions  in  the  public  service  by  promotion, 
like  the  selection  of  candidates  for  original  appoint- 
ment, presents  questions  of  the  proper  location  of 
authority,  of  conscientious  adherence  to  the  merit 
principle,  and  of  the  devising  of  eft'ective  examining 
technique. 

Civil  service  commissions  have  usually  been  given 
the  power  to  regulate  the  making  of  promotions,  but,  as 
a  general  rule,  they  have  failed  to  exercise  this  power. 
In  the  national  service,  the  Commission  usually  limits 

185 


'    PUBLIC  PERSONNEL  ADMINISTRATION 

its  control  over  promotions  to  the  holding  in  certain 
cases  of  a  so-called  qualifying  or  non-competitive  ex- 
amination. A  few  state  and  city  commissions  under- 
take to  regulate  promotion  from  class  to  class  on  the 
basis  of  competitive  examination.  Most  civil  service 
commissions,  however,  have  failed  to  require  even  a 
qualifying  examination  as  a  basis  of  promotion.  They 
have  allowed  the  control  over  promotion,  as  well  as  the 
control  over  mere  salary  increases,  to  remain  almost 
entirely  in  the  hands  of  administrative  officers. 

Civil  service  commissions  should  exercise  such  con- 
trol over  the  granting  of  promotions  as  will  insure  that 
the  several  operating  services  are  handling  this  im- 
portant feature  of  personnel  administration  in  a  proper 
manner.  They  should  accomplish  promotion  uniformity 
as  far  as  varying  conditions  permit. 

In  exercising  supervision  over  the  granting  of  pro- 
motions, the  civil  service  commission  must  be  concerned 
in  the  first  place  with  the  enforcement  of  the  merit  prin- 
ciple. Under  the  conditions  that  have  existed  in  the 
public  service,  the  merit  principle  has  been  more  laxly 
enforced  in  connection  with  promotion  than  in  connec- 
tion with  original  appointment.  In  the  making  of  pro- 
motions, favoritism  and  political  influence  have  too 
often  played  a  large  part.  As  a  means  of  administering 
promotion  in  accordance  with  the  merit  principle  a'nd  as 
a  means  of  securing  a  truly  efficient  personnel  in  the 
higher  positions  of  the  government  service,  civil  service 
commissions  should  encourage  the  use  of  competitive 
examinations.  This  applies  especially  to  the  subordi- 
nate positions.  The  higher  positions  require  to  a  marked 
degree  the  attributes  of  personality  and  executive 
ability.     They  involve  a  greater  amount  of  the  qualities 

indicated  by  the  terms  "executive  ability"  and  "per- 

i86 


ADVANCEMENT  AND  PROMOTION 

sonalit}'-."  In  these  cases  formal  tests  of  fitness  are 
more  difficult  to  devise  and  standardize. 

In  civil  service  practice,  promotion  is  usually  made  on 
the  basis  of  three  factors:  length  of  service,  efficiency- 
rating,  promotion  test  proper.  Length  of  service  is  an 
indication  of  loyalty.  It  may  also  be  an  indication  of 
increased  ability  and  usefulness.  It  should,  however, 
receive  only  a  limited  weight.  A  standard  length  of 
service  should  be  set  up,  and  service  beyond  this  length 
should  be  given  little  or  no  additional  weight.  The 
efficiency  rating  is  an  indication  of  the  performance  of 
the  applicant  over  a  definite  period  of  time  in  his  present 
position  and  should  undoubtedly  be  given  great  weight. 
In  not  a  few  cases,  however,  main  dependence  can  be 
placed  upon  the  promotion  test  proper.  This  test  may 
be  either  a  written  or  a  practical  test.  As  in  the  case 
of  the  entrance  test,  the  promotion  test  should  be  drawn 
up  with  careful  regard  to  the  specification  of  duties  and 
qualifications  required  in  the  job  or  position  to  be  filled. 
At  the  same  time  the  test  should  be  designed,  not  so 
much  to  bring  out  special  or  technical  information  as 
to  reveal  native  ability  to  handle  the  duties  of  the  new 
position. 

Where  the  competitive  examination  is  made  the 
basis  of  promotion,  the  machinery  of  certification  and 
appointment  is  substantially  the  same  as  that  previously 
discussed  in  connection  with  original  selection.  It 
usually  provides  for  the  preparation  by  the  civil  service 
commission  of  a  list  of  candidates  eligible  to  the  position 
to  be  filled  by  promotion ;  the  certification  of  candidates, 
usually  three  in  number,  who  are  deemed  eligible  to  the 
position  in  question;  appointment  by  the  department 
head;  and  an  opportunity  for  the  refusal  of  final  ap- 
pointment during  the  perif)d  of  probation.     The  certi- 

187 


PUBLIC  PERSONNEL  ADMINISTRATION 

fication  of  at  least  three  eligible  candidates  is  necessary 
as  a  measure  of  effective  management.  It  enables  the 
department  head  to  take  into  account  the  personal  quali- 
ties of  the  candidates,  to  reward  deserving  service  in 
his  own  organization,  and  to  offset  imperfections  in  the 
method  of  examination. 

As  a  final  word,  it  may  be  well  to  stress  again  the 
fact  that  it  is  generally  desirable  to  fill  the  higher 
positions  in  the  civil  service  by  promotion — in  so  far  as 
they  cannot  be  filled  by  reinstatement — rather  than  by 
recruiting  from  outside  the  service.  "In  ordinary  cir- 
cumstances only  in  case  a  promotion  examination  fails 
to  secure  three  eligibles  should  any  attempt  be  made  to 
obtain  employees  through  an  open  competitive  examina- 
tion." * 

*  Report  of   the   Congressional  Joint   Commission,    1920,  part   I, 
p.  124. 


CHAPTER  X 
EMPLOYEES'  REPRESENTATION 

The  last  two  decades  represent  a  period  of  unusual 
industrial  and  commercial  expansion  in  the  United 
States.  Under  the  impetus  of  this  expansion  and  under 
the  stress  of  competition,  individual  organizations  have 
assumed  immense  size.  This  era  of  reorganization 
brought  with  it  many  new  problems  of  management. 
Methods  of  increasing  production  or  decreasing  over- 
head and  operating  costs  were  eagerly  adopted.  The 
man  with  an  idea  or  device  for  increasing  plant  pro- 
duction or  efficiency  was  recognized.  A  new  profes- 
sional group  called  industrial  engineers,  efficiency  ex- 
perts, and  management  specialists  sprang  up.  Each 
group  of  specialists  came  forth  with  a  particular  remedy 
or  line  of  remedies.  All  ^ut  emphasis,  however,  upon 
systems  of  control. 

Great  strides  in  the  development  of  factory  and 
plant  efficiency  were  made  as  the  result  of  this  effort, 
but  the  success  obtained  on  the  mechanical  side  of  plant 
and  factory  efficiency  directed  forcible  attention  to  one 
important  phase  of  the  production  problem  that  had  been 
neglected,  namely,  the  problem  of  the  worker.  Ex- 
perience in  this  period  has  demonstrated  that,  however 
important  the  institutional  and  mechanical  conditions  of 
controlling  and  developing  production,  efficiency  de- 
mands something  else.  It  demands  the  interest  of  the 
employee  in  his  job,  the  sympathetic  cooperation  of  the 
employee  with  the  employer,  team  play  between  the  di- 

189 


PUBLIC  PERSONNEL  ADMINISTRATION 

reeling  personnel  and  the  subordinate  personnel  which 
springs  from  the  desire — as  well  as  the  means — of  co- 
operation. Private  organization  learned,  as  it  had 
never  learned  before,  the  need  and  value  of  morale. 
Especially  did  the  great  war  emphasize  this  factor. 
The  patriotic  interest  of  every  citizen  was  aroused.  He 
was  made  to  feel  the  importance  of  doing  his  best. 
Team  play  and  united  effort  in  a  common  cause  re- 
sulted. 

That  the  conditions  normally  existing  in  private  or 
public  enterprise  do  not  conduce  sufficiently  toward  this 
spirit  of  cooperation,  is  generally  recognized.  In  some 
way  the  employee  must  be  made  to  feel  an  interest  in  the 
results  of  his  work.  To  this  end  he  must  be  given  some 
opportunity  to  participate  in  its  determination  and  his 
work  conditions,  at  least  to  the  extent  of  being  able 
formally  to  make  known  his  opinion  regarding  the 
justice  and  desirability  of  these  conditions. 

The  development  of  a  system  of  employees'  repre- 
sentation has  accomplished  much  in  private  enterprise. 
By  employees'  representation  is  meant  the  means  fur- 
nished to  the  employee  w^ithin  an  organization  for  voic- 
ing his  grievances,  advising  the  management  on  employ- 
ment questions,  such  as  compensation,  discharges,  etc., 
or  on  factory  and  plant  production.  It  represents  the 
means  for  a  closer  touch  between  the  management  and 
the  employee. 

Many  systems  of  employees'  representation  have 
been  tried.  Some  organizations  have  introduced  the 
simple  shop  committee  plan,  each  shop  committee  being 
an  independently  functioning  unit.  Others  have 
brought  the  shop  committees  under  the  control  of  a 
central  coordinating  board  which  advises  directly  with 
the  board  of  directors  or  the  management. 

190 


EMPLOYEES'  REPRESENTATION 

The  movement  for  employees'  representation  in  the 
pubHc  service  is  making  itself  definitely  felt  at  the  pres- 
ent time.  It  started  by  the  independent  formation  of 
employees'  organizations.  In  a  number  of  cities  associa- 
tions of  employees  are  found  covering  particular  ser- 
vices, especially  the  police,  fire,  and  teaching  services. 
Associations  embracing  all  the  employees  of  a  particular 
municipality  are  rare.  Where  found,  they  are  usually 
weak  and  ineffective.  In  the  national  service,  however, 
in  addition  to  several  organizations  covering  particular 
services,  there  is  found  a  "National  Federation  of  Fed- 
eral Employees  Union,"  af^liated  with  the  American 
Federation  of  Labor,  which  invites  to  its  membership 
employees  of  all  branches  of  the  service.  The  scope  and 
strength  of  this  organization  is  shown  by  the  fact  that 
its  membership  embraces  approximately  200  local  units 
scattered  through  the  country  with  a  membership  that 
now  numbers  60,000.  It  publishes  a  weekly  magazine 
that  keeps  its  membership  informed  on  all  questions 
affecting  the  organization  and  the  status  or  welfare  of 
federal  employees. 

The  purpose  of  this  union  as  defined  in  Article  2  of 
its  Constitution  is:  (a)  To  advance  the  social  and  eco- 
nomic welfare  and  education  of  the  employees  of  the 
United  States  and  (b)  to  aid  in  the  perfection  of 
systems  that  will  make  for  greater  efBciency  in  the 
various  services  of  the  United  States.  The  program 
adopted  for  the  fulfillment  of  this  purpose  seems  to  have 
in  mind  both  the  interest  of  the  government  and  the 
welfare  of  the  employee.  It  includes  the  following 
significant  features: 

(a)  Procurement  of  legislation  beneficial  to  the  govern- 
ment service  and  employees,  and  protection  from  unjust  and 
inconsiderate  enactment  of  laws  affecting  them. 

191 


PUBLIC  PERSONNEL  ADMINISTRATION 

(b)  Reclassification  of  salaries  and  wages  based  upon  the 
value  of  work  done. 

(c)  A  satisfactory  retirement  plan  (recently  adopted). 

(d)  Improvement  of  methods  and  systems  of  work  in  the 
government  service  so  that  they  may  be  brought  more  up  to 
date,  made  more  efficient  and  more  responsive  to  the  needs  of 
the  United  States. 

(e)  A  minimum  wage  law  to  provide  that  every  govern- 
ment employee  shall  be  able  to  work  in  health  and  decency. 

(f)  Extension  of  the  merit  system  or  civil  service  classi- 
fication to  all  positions  of  the  government  service. 

(g)  The  appointment  of  a  civil  service  board  of  appeals 
or  a  board  of  mediation  and  conciliation  composed  of  repre- 
sentatives of  the  employees  and  the  employer  for  the  consid- 
eration of  differences  and  grievances. 

(Ji)  Improved  working  conditions,  including  half  holidays 
on  Saturdays  through  the  year,  and  reasonably  safe  and  com- 
fortable places  in  which  to  do  work. 

These  objects  certainly  include  the  essential  fea- 
tures of  a  progressive  employment  program.  The 
methods  enumerated  for  the  accomplishment  of  these 
objects  have  been  the  subject  of  considerable  discussion 
and  debate.     The  constitution  says: 

Sec.  2.  The  methods  for  attaining  these  objects  shall  be  by 
petition  to  Congress,  by  creating  and  fostering  public  senti- 
ment favorable  to  proposed  reforms,  by  cooperation  with  gov- 
ernment officials  and  employees,  by  legislation,  and  other  law- 
ful means;  provided,  that  under  no  circumstances  shall  this 
Federation  engage  in  or  support  strikes  against  the  United 
States  Government. 

In  place  of  strikes  against  the  United  States  Govern- 
ment, which  the  union  repudiates,  it  is  proposed  to  em- 
ploy pressure  upon  Congress  by  "personal  contact  .  .  . 
between  representatives  of  the  Union  and  Congressmen 
and  Committees  of  Congress,"  and  "by  each  member  of 
the  Union  dealing  with  his  representative  or  senator  in- 
dividually and  'through  the  folks  back  home.'  "     It  has 

192 


EMPLOYEES'  REPRESENTATION 

been  argued  that  the  principal  effect  of  this  program,  if 
adhered  to,  would  be  to  further  emphasize  political 
patronage,  to  strengthen  the  political  hold  of  senators 
and  congressmen  upon  the  administrative  officers  re- 
sponsible for  the  conduct  of  the  nation's  business,  and 
to  subordinate  the  legitimate  interests  of  the  govern- 
ment to  the  political  ends  to  be  served. 

This  view  would  seem  to  put  the  emphasis  on  a 
danger  that  is  quite  remote  and  to  lose  sight  of  the  highly 
beneficial  objects  of  this  form  of  representation.  It 
would  seem,  too,  to  overlook  the  essential  facts  that  have 
entered  into  the  prosecution  of  many  of  our  great  re- 
forms, namely,  organization  of  the  group  interest  or 
class  to  be  affected.  The  business  interests  of  the 
country  have  maintained  a  Chamber  of  Commerce 
which  under  an  enlightened  program  represents  the 
business  interests  of  the  country  before  the  Congress  of 
the  United  States.  The  farming  interest  and  the 
granges  of  the  country  have  similar  representation  in 
Washington.  Groups  of  private  enterprises  and 
various  social  movements  maintain  organizations  for 
bringing  what  is  generally  thought  to  be  "legitimate 
pressure"  upon  the  legislative  body  of  the  nation. 

The  union,  according  to  the  claims  of  its  leadership, 
frowns  upon  political  pressure  where  the  matters  under 
consideration  can  be  handled  through  administrative 
channels.  It  is  significant  that  this  agency  is  now  plead- 
ing for  a  reorganization  of  the  whole  system  of  employ- 
ment control  under  which  many  matters  now  being 
handled  from  year  to  year  by  Congress  will  be  disposed 
of,  as  they  should  be  disposed  of,  within  the  executive 
departments  and  thus  dispense  entirely  with  the  need 
for  pressure  upon  the  legislative  body.  Reference  is 
made  to  the  movement  for  reclassification  of  the  per- 

193 


PUBLIC  PERSONNEL  ADMINISTRATION 

sonnel  of  the  national  government  and  standardization 
of  employment  conditions  under  an  arrangement  where- 
by an  administrative  machinery  attached  either  to  the 
Civil  Service  Commission  or  some  other  administrative 
unit,  such  as  the  Budget  Bureau,  will  determine,  sub- 
ject to  any  revision  of  the  law  itself,  rates  and  grades 
of  compensation,  and  make  official  recommendations  as 
to  payroll  expenditures,  etc. 

The  need  in  private  enterprise  for  a  broad  form  of 
employees'  representation  within  each  plant  or  organi- 
zation has  its  counterpart  also  in  the  public  service. 
The  Civil  Service  Commission  and  the  various  state  and 
municipal  civil  service  commissions  have  been  too  far 
removed  from  the  conditions  under  which  the  employees 
work.  The  development  within  our  larger  governments, 
that  is,,  governments  employing  more  than  3000  em- 
ployees, of  a  wide  system  of  representation  is  funda- 
mental. Each  department  should  have  a  personnel 
board  that  would  function  in  close  cooperation  with  the 
civil  service  commission,  itself  conducting  investigations 
and  advising  the  commission  of  changes  in  the  rules 
and  regulations  that  should  be  adopted. 


APPENDIX  1 

CIVIL    SERVICE    COMMISSIONS    IN    THE    UNITED    STATES    CLASSIFIED 
ACCORDING  TO  LEGAL  CONDITIONS  OF  CONTROL 

I.  Federal  and  Insular 

1.  Established  by  Federal  Act 

Federal  Government  of  the  United  States 

2.  Established  by  Acts  of  Insular  Legislatures 
Hawaii  Philippine  Islands  Porto  Rico 

II.  State :  Established  by  Statute 

1.  Commissions  that  recruit  and  control  em- 
ployees for  the  State  Government 

California  Connecticut  ^  Kansas 

Colorado  Illinois  Maryland 

Wisconsin 

2.  Commissions  that  recruit  and  control  em- 
ployees for  the  State  government  and  mu- 
nicipal and  other  subdivisions  of  the  State 
which  have  adopted  the  provisions  of  the 
act  ^ 

Massachusetts  ^  New  Jersey  * 

3.  Commissions  that  recruit  and  control  em- 
ployees for  the  State  Government  ^  and  have 
investigative  and  disciplinary  powers  over  the 
administration  of  civil  service  in  the  political 
subdivisions  of  the  State 

New  York  Ohio 

1  This  commission  was  abolished  by  Act  of  the  Connecticut  Legis- 
lature in  April,   1921. 

2  Optional  by  referendum  vote. 

3  Includes  only  cities  of  over  12,000. 

*  Includes  all  subdivisions  of  the  state. 
*>  Includes  the  counties  within  the  state. 

195 


PUBLIC  PERSONNEL  ADMINISTRATION 

III.  Alunicipal 

I.  Commissions  established  by  virtue  of  a  con- 
stitutional provision  or  State  statute  manda- 
tory upon  all  cities 

(a)   Commissions    subject    to    supervision 
by  State  Commission 
New  York: 


Albany 

Ithaca 

Oneonta 

Amsterdam 

Jamestown 

Oswego 

Auburn 

Johnstown 

Plattsburgh 

Batavia 

Kingston 

Port  Jervis 

Beacon 

X^ackawanna 

Poughkeepsie 

Binghamton 

]:.ittle  Falls 

Rensselaer 

Buffalo 

Lockport 

Rochester 

Canandaigua 

Mechanicsville 

Rome 

Cohoes 

Middletown 

Salamanca 

Corning 

Mount  Vernon 

Saratoga  Springs 

Cortland 

Newburg 

Schenectady 

Dunkirk 

New  Rochelle 

Syracuse 

Elmira 

New  York 

Tonawanda 

Fulton 

Niagara  Falls 

Troy 

Geneva 

North  Tonawanda  Utica 

Glens  Falls 

Norwich 

Watertown 

Gloversville 

Ogdensburg 

Watervleit 

Hornell 

Olean 

Yonkers 

Hudson 

Oneida 

Ohio: 

Akron 

Bucyrus 

Coshocton 

Alliance 

Cambridge 

Defiance 

Ashland 

Canal  Dover 

Delaware           ' 

Athens 

Canton 

Delphos 

Barberton 

Chillicothe 

Dover 

Bellaire 

Cincinnati 

East  Cleveland 

Bellefontaine 

Circleville 

East  Liverpool 

Bowling  Green 

Conneaut 
196 

Elyria 

APPENDIX  I 

Ohio  (continued) 

: 

Findley 

Marion 

St.  Marys 

Fostoria 

Martins  Ferry 

Steubenville 

Fremont 

Massillon 

Tiffin 

Gallon 

Nelsonville 

Troy 

Gallipolis 

Newark 

Urbana 

Glenville 

Newburg 

Van  Wert 

Greenville 

New  Philadelphia  Warren 

Hamilton 

Niles 

Washington  Court 

Ironton 

Norwalk 

House 

Jackson 

Norwood 

Wellstone 

Kenton 

Piqua 

Wellsville 

Lancaster 

Plainesville 

Wooster 

Lima 

Portsmouth 

Xenia 

Lorain 

Ravenna 

Youngstown 

Mt.  Vernon 

Salem 

Zanesville 

Mansfield 

Sidney 

Marietta 

St.  Bernard 

(b) 

Commissions  not 

subject  to  supervi- 

sion  by  State  Commission  ® 

Ohio: 

Ashtabula 

Dayton 

Sandusky 

Cleveland 

Lakewood 

Springfield 

Columbus 

Middletown 

Toledo 

2.  Commissions  established  by  virtue  of  an  op- 
tional State  statute  applicable  to  all  cities 

Connecticut : 


Derby 

Illinois: 

Aurora 

Elgin 

Rockford 

Chicago 

Evanston 

Springfield 

East  St.  Louis 

Peoria 

'Waukegan 

Montana : 

Missoula 

«  Operating  under  freeholders'  charters. 

197 

PUBLIC  PERSONNEL  ADMINISTRATION 


3.  Commission  established  by  virtue  of  a  State 
statute  mandatory  upon  cities  adopting  com- 
mission form  of  government 

Arkansas : 


Fort  Smith 

Iowa: 

Burlington 

Des  Moines 

Sioux  City 

Cedar  Rapids 

Kansas : 

Anthony 

Independence 

Parsons 

Coffeyville 

Kansas  City 

Topeka 

Hutchinson 

Leavenworth 

Wichita 

4.  Commissions  established  by  virtue  of  a  State 

statute 

;  mandatory  upon 

cities  of  the  first  or 

second  class 

(0) 

Cities  of  first  class 

Minnesota : 

Minneapolis  ^ 

ib) 

Cities  of  first  and  second  class 

Pennsylvania : 

Allentown 

Hazleton 

Reading 

Altoona 

Johnstown 

Scranton 

Chester 

McKeesport 

Uniontown 

Cotesville 

Philadelphia 

Wilkes  Barre 

Easton 

Pittsburgh 

Williamsport 

Harrisburg 

5.  Commissions  established  by  virtue  of  a  state 
statute  mandatory  upon  cities  of  the  first 
and  second  class 


Wisconsin: 
La  Crosse 
Milwaukee 


Oshkosh 
Superior 


^  Law  makes  special  reference  to  the  method  of  appointment  and 
salary  of  the  Minneapolis  commissioners.    See  also  Minnesota  under  7. 

198 


APPENDIX  I 


6.  Commissions  established  by  virtue  of  a  spe- 
cial statute 

Connecticut : 
New  Haven 

Georgia : 

Augusta 
Louisiana : 

Bogalusa 
South  Carolina 

Columbia 
Tennessee : 

Memphis 

Virginia : 

Norfolk^ 
West  Virginia: 

Bluefield 


New  Orleans 


Nashville  ^ 


Huntington 


Parkersburgh 


San  Francisco 
(city  and 
county) 


7.  Commissions  established  by  virtue  of  author- 
ity, constitutional,  statutory,  or  both,  to 
frame  freeholders'  charters  ^^ 

California: 

Berkeley  ^^  Oakland 

Long  Beach  Sacramento 

Los  Angeles  City   San  Diego 
Colorado : 

Colorado  Springs   Denver  (city  and  Grand  Junction 

county)  Pueblo 

Maryland : 
Baltimore 

^  City  board  of  commissioners,  the  employment  board  over  em- 
ployees in  the  police,  fire,  waterworks,  and  lighting  departments. 

^  Jurisdiction  of  commission  restricted  to  employees  of  fire  and 
police  departments. 

^°  The  cities  in  Ohio  that  are  operating  under  freeholders'  charters 
have  been  classified  under  III — 1-2. 

^^  Charter  provides  for  Commission :  Commission  not  established. 

199 


PUBLIC  PERSONNEL  ADMINISTRATION 

Kentucky : 

Covington 

Michigan : 

Detroit 

Grand  Rapids         Kalamazoo 

Saginaw 

Minnesota : 

Duluth 

St.  Paul 

Missouri : 

Kansas  City 

St.  Louis 

Oklahoma : 

Bartlesville 

Muskogee               Oklahoma  City 

Oregon : 

Portland 

Texas 

Houston 

.    El  Paso 

Washington : 

Bellingham  ^'     Seattle  Tacoma 

Everett  Spokane 

8.  Other  units  of  government  that  have  estab- 
lished employment  boards  by  virtue  of  a 
special  statute 

Cook  County,  Illinois 

Board  of  Commissioners— Port  of  New  Orleans 

Lincoln  Park  Commission,  Chicago 

South  Park  Commission,  Chicago 

West  Park  Commission,  Chicago 

Los  Angeles  County,  Cal. 

Milwaukee  County,  Wis. 

12  Civil  service  department  established  through  charter  amendment. 


APPENDIX  2 

STANDARD    CIVIL    SERVICE    LAWS    FOR    STATES    AND    CITIES 

Drafted  by  National  Civil  Service  Reform  League 
Draft  of  a  Civil  Service  Law  for  States 

[Applicable  with  minor  or  formal  modifications  or 
those  required  by  constitutional  provisions  to  any  state, 
and  embodying  the  essential  features  of  a  practical  merit 
system  of  public  employment  prepared  and  approved  by 
a  Committee  of  the  National  Civil  Service  Reform 
League.] 

An  Act  to  regulate  the  civil  service  of  the  state,  and 
of  each  of  the  civil  divisions,  counties,  municipalities, 
school  districts  and  other  subdivisions  of  the  state,  in- 
cluding the  executive,  legislative  and  judicial  branches. 
Be  it  enacted,  etc., 

Section  I.  Definitions:  The  words ''Commission" 
and  "Commissioner,"  as  used  in  this  Act,  shall  be 
construed  to  mean  in  respect  to  the  state  service,  and  in 
respect  to  examination  and  certification  of  eligibles  for 
the  offices  of  state,  county,  municipal,  school  district  or 
other  civil  division,  the  State  Civil  Service  Commission 
or  Commissioner;  in  respect  to  each  of  the  several 
county  services,  the  County  Civil  Service  Commission 
or  Commissioner,  and  in  respect  to  each  of  the  several 
municipalities,  the  Municipal  Civil  Service  Commission 
or  Commissioner  of  such  municipality,  and  in  respect  to 
any  other  subdivision  of  the  state  the  Civil  Service  Com- 
mission or  Commissioner  thereof. 

Section  2.    Division  of  Service:    The  civil  service 

201 


PUBLIC  PERSONNEL  ADMINISTRATION 

of  the  state  and  of  each  of  the  civil  divisions,  counties, 
municipahties,  school  districts,  and  other  subdivisions  of 
the  state  shall  be  divided  into  the  unclassified  and  the 
classified  service. 

Section  3.  Unclassified  Service:  The  unclassified 
service  shall  comprise: 

(a)  Officers  ^  elected  by  the  people; 

(b)  Judges  "  and  receivers,^  special  masters  in  chan- 
cery, arbiters,  jurors  and  persons  appointed  by  a  court 
to  make  or  conduct  any  special  inquiry  of  a  judicial  and 
temporary  character ;  * 

(c)  Officers  and  employees  of  a  county,  municipal- 
ity, school  district  or  other  subdivisions  of  the  state, 
having  a  service  in  all  departments  of  less  than  fifty  per- 
sons, and  an  average  monthly  payroll  of  less  than  five 
thousand  dollars; 

(d)  Persons  employed  by  contract  to  perform  a  spe- 
cial service  where  such  contract  is  certified  by  the  Civil 
Service  Commission  to  be  for  employment  which  cannot 
be  performed  by  persons  in  the  classified  service; 

(e)  Persons  temporarily  appointed  or  designated  to 
make  or  conduct  a  special  inquiry,  investigation  or  ex- 
amination, where  such  appointment  or  designation  is 
certified  by  the  Civil  Service  Commission  to  be  for 
employment  which  should  not  be  performed  by  persons 
in  the  classified  service;  and 

^  The  adoption  of  a  short  ballot  law  in  conjunction  with  a  civil 
service  law  will  greatly  promote  governmental  efficiency.  "Only 
those  officers  should  be  elected  who  have  to  do  with  policy  making 
and  who  are  important  enough  to  attract  and  to  deserve  public 
attention." 

2  In  the  absence  of  a  constitutional  restriction  there  is  no  rea- 
son why  judges  of  inferior  courts  should  not  be  included  in  the 
classified  service. 

^  Wherever  the  school  system  is  under  the  jurisdiction  of  a 
school  board  separate  and  distinct  from  the  state  or  municipal  gov- 
ernment with  a  law  providing  an  efficient  merit  system  this  section 
may  be  amended. 

*  See  note  10. 

202 


APPENDIX  2 

(/)  One  Civil  Service  Commissioner  or  three  Civil 
Service  Commissioners  ^  as  provided  in  sections  6  and  7 
of  this  Act. 

Section  4.  Classified  Service:  The  classified  ser- 
vice shall  comprise  all  other  public  officers  and  em- 
ployees, and  all  offices  and  places  of  employment  in  the 
state  service,  and  in  the  respective  services  of  the  several 
civil  divisions,  counties,  municipalities  and  other  sub- 
divisions of  the  state,  which  shall  be  classified  and 
graded  in  the  manner  provided  for  in  this  Act  in  the 
rules  made  in  pursuance  hereunder,  and  appointments, 
removals,  promotions,  transfers,  lay-ofifs,  reinstate- 
ments, suspensions,  leaves  of  absence,  and  changes  in 
grade,  compensation,  or  title  shall  be  made  and  per- 
mitted only  as  prescribed  in  this  Act  and  not  otherwise. 

Section  5.  Continuance  of  Present  Incum- 
bents: Any  person  holding  an  office  or  place  in  the 
classified  service  as  herein  defined  at  the  time  this  Act 
takes  effect  shall  continue  to  hold  such  office  or  place  only 
until  laid  off  or  removed  for  inefficiency  by  the  appoint- 
ing officer  or  until  removed  under  the  provisions  of  this 
Act.**  Such  person  shall  not  be  entitled  to  reinstatement, 
transfer  or  promotion  under  the  provisions  of  this  Act.'' 

^  Will  be  omitted  if  the  other  alternative  of  Sections  6  and  7 
is  adopted. 

^  Where  an  existing  civil  service  act  is  to  be  superseded  by 
this  Act,  the  following  provisions  should  be  inserted: 

Any  person  holding  an  office  or  place  in  the  classified  service 
and  graded  as  herein  defined  at  the  time  this  Act  takes  effect  by 
virtue  of  a  civil  service  act  repealed  in  w^hole  or  in  part  by  this 
Act  and  who  was  appointed  after  test  and  certification  to  such  office 
or  place  and  has  served  continuously  therein  for  a  period  of  not 
less  than  three  months  shall  become  a  member  of  the  classified  service 
created  by  this  Act  without  original  entrance  test. 

■^  Persons  whose  merit  and  fitness  to  perform  the  duties  of 
any  position  in  a  grade  to  which  they  may  be  certified  has  not  been 
tested  cannot  be  treated  or  regarded  as  being  as  well  qualified  as 
persons  whose  merit  and  fitness  have  been  so  tested.  They  may,  at 
best,  be  competent  in  the  positions  in  which  they  are  actually  em- 
ployed, but   to   send  them   into   other  departments   to   which   their 

203 


PUBLIC  PERSONNEL  ADMINISTRATION 

Section  6.  Appointment  of  State  Commission: 
There  is  hereby  created  a  State  Civil  Service  Commis- 
sion consisting  of  one  person  appointed  by  the  Governor 
to  serve  until  removed  under  the  provisions  of  this  Act. 
Whenever  there  is  a  vacancy  in  the  office  of  State  Civil 
Service  Commissioner  and  no  eligible  list  prepared  as 
provided  in  this  section  from  which  appointment  can  be 
made,  the  Governor  shall  forthwith  appoint  (a)  a.  person 
who  has  served  within  the  United  States  continuously 
for  two  or  more  years  as  a  member,  secretary  or  chief 
examiner  of  a  federal,  state,  county  or  municipal  civil 
service  commisison  (b)  3.  persons  who  has  been  engaged 
continuously  within  the  United  States  for  two  or  more 
years  in  selecting  trained  employees  for  positions  in- 
volving professional  or  technical  skill;  and  (c)  a  person 
who  has  served  for  two  or  more  years  as  a  judge  of  a 
court  of  record;  which  three  persons  shall  constitute  a 
board  of  special  examiners  to  conduct  an  examination 
under  the  provisions  of  this  Act  for  the  purpose  of 
preparing  a  list  of  the  names,  in  the  order  of  their 
excellence,  of  persons  eligible  to  appointment  to  the 
office  of  State  Civil  Service  Commissioner.^  The  mem- 
grade  of  service  may  extend  has  been  found  disastrous.  No  merit 
principle  demands  their  retention  in  the  service.  Their  qualifications 
are  not  definitely  known  and  the  fact  that  they  obtained  their  appoint- 
ments largely  if  not  solely  for  political  reasons  makes  them  a  source 
of  discord  when  sent  under  the  guise  of  merit  employees  to  appoint- 
ing officers  who  may  have  vacancies  to  fill.  This  Act  leaves  such 
persons  where  it  finds  them.  It  reserves  only  the  right  to  remove 
such  of  them  as  may  be  demonstrated  to  be  inefficient  after  the  act 
goes  into  effect.  If  laid  off  by  the  officers  under  whom  they  serve 
they  are  separated  from  the  service  and  cannot  claim  the  right  to  re- 
instatement. The  shock  to  the  service  which  wholesale  or  sudden 
change  in  the  character  of  their  tenure  might  occasion  is  avoided 
and  opportunity  to  take  the  tests  which  will  give  them  tenure  during 
efficiency  is  afforded.  In  such  tests  the  experience  which  such  per- 
sons should,  if  competent,  have  acquired  gives  them  an  undoubted 
advantage  over  other  applicants. 

^  Three  provisions  are  proposed  to  govern  the  appointment  of  the 
civil  service  commission  in  the  state  service  and  in  cities  of  over 
250,000  inhabitants. 

204 


APPENDIX  2 

bers  of  said  board  shall  serve  until  an  eligible  list  has 
been  established  and  appointment  made  therefrom. 
Two  members  of  said  board  shall  constitute  a  quorum 
for  the  transaction  of  business.  Said  board  shall,  within 
thirty  days  after  its  members  have  been  appointed, 
proceed  to  advertise  and  hold  an  examination  under  the 
provisions  of  this  Act.  The  method  of  examination  and 
the  manner  of  preparing  a  resulting  eligible  list  and 
certifying  to  the  Governor  therefrom  by  said  board  of 
examiners  and  making  appointments  in  accordance  with 
such  certification  by  the  Governor  shall  be  the  same  as 
prescribed  for  other  examinations,  certifications  and 
appointments  under  this  Act,  and  the  said  board  shall 
have  the  same  powers  and  obligations  in  respect  thereto 
as  those  vested  in  or  imposed  upon  the  State  Civil 
Service  Commission.  Whenever  a  vacancy  exists  in  the 
office  of  State  Civil  Service  Commissioner,  the  Governor 
shall  forthwith  appoint  the  person  standing  highest  upon 
the  list  of  persons  eligible  for  appointment  to  said  office. 

Section  6.  Appointment  of  State  Commission: 
There  is  hereby  created  a  state  civil  service  commission 
consisting  of  three  persons  appointed  by  the  Governor  to 
serve  one  for  two  years,  one  for  four  years  and  one  for 
six  years.  Each  alternate  year  thereafter  the  Governor 
shall  appoint  one  person  as  the  successor  of  the  member 
whose  term  shall  expire,  to  serve  for  six  years.  Any 
vacancy  shall  be  filled  by  the  Governor  for  the  unexpired 
term.  The  Governor  may  remove  a  member  of  the  state 
civil  service  commission  under  the  provisions  of  section 
12  of  this  Act. 

Section  6.  Appointment  of  State  Commission: 
There  is  hereby  created  a  State  Civil  Service  Commis- 
sion, consisting  of  three  persons,  one  of  whom  shall  be 
appointed  by  the  Governor  to  serve  during  the  term  of 
office  of  the  Governor  or  until  removed  under  the  pro- 

205 


PUBLIC  PERSONNEL  ADMINISTRATION 

visions  of  this  Act.  The  other  two  members  of  the  State 
Commission  shall  be  in  the  classified  service  and  shall 
possess  the  same  powers  and  authority  as  the  third 
member.  Two  members  of  the  State  Civil  Service 
Commission  shall  constitute  a  quorum  for  the  trans- 
action of  business.  Whenever  there  is  a  vacancy  in  the 
office  of  State  Civil  Service  Commissioner  in  the  classi- 
fied service  and  no  eligible  list  prepared  as  provided  in 
this  section,  from  which  appointment  can  be  made,  the 
Governor  shall  forthwith  appoint  (a)  a  person  who  has 
served  within  the  United  States  continuously  for  two 
or  more  years  as  a  member,  secretary  or  chief  examiner 
of  a  federal,  state,  county  or  municipal  civil  service 
commission;  (b)  a  person  who  has  been  engaged  con- 
tinuously within  the  United  States  for  two  or  more  years 
in  selecting  trained  employees  for  positions  involving 
professional  or  technical  skill;  and  (c)  a.  person  who  has 
served  for  two  or  more  years  as  a  judge  of  a  court  of 
record;  which  three  persons  shall  constitute  a  board  of 
special  examiners  to  conduct  an  examination  under  the 
provisions  of  this  Act  for  the  purpose  of  preparing  a 
list  of  the  names,  in  the  order  of  their  relative  excel- 
lence, of  persons  eligible  to  appointment  to  the  office  of 
State  Civil  Service  Commissioner  in  the  classified  ser- 
vice. The  members  of  said  board  shall  serve  until  an 
eligible  list  has  been  established  and  appointment  made 
therefrom.  Two  members  of  said  board  shall  constitute 
a  quorum  for  the  transaction  of  business.  Said  board  ® 
shall,  within  thirty  days  after  its  members  have  been 
appointed,  proceed  to  advertise  and  hold  an  examination 
under  the  provisions  of  this  Act.  The  method  of 
examination  and  the  manner  of  preparing  a  resulting 

^  It  should  be  noted  that  this  board  does  its  work  under  the 
penal  provisions  of  sections  27  and  29  by  examination  prescribed 
in  its  general  features  in  section  23,  and  that  papers  are  open  to 
public  inspection.  These  provisions  should  give  reasonable  assurance 
of  honest  and  intelligent  examinations. 

206 


APPENDIX  2 

eligible  list  and  certifying  to  the  Governor  therefrom  by 
said  board  of  examiners,  and  making  appointments  in 
accordance  with  such  certification  by  the  Governor  shall 
be  the  same  as  prescribed  for  other  examinations,  certi- 
fications and  appointments  under  this  Act,  and  the  said 
board  shall  have  the  same  powers  and  obligations  in 
respect  thereto  as  those  vested  in  or  imposed  upon  the 
State  Civil  Service  Commission.  Whenever  a  vacancy 
exists  in  the  office  of  State  Civil  Service  Commissioner 
in  the  classified  service,  the  Governor  shall  forthwith 
appoint  the  person  standing  highest  upon  the  list  of 
persons  eligible  for  appointment  to  said  office  until  all 
such  vacancies  are  filled. 

Section  7.  Appointment  of  Local  Commissions: 
In  each  of  the  counties,  municipalities,  school  districts 
and  other  subdivisions  of  the  state  there  is  hereby 
created  a  Civil  Service  Commission  to  consist  of  one 
person  appointed  by  the  chief  appointing  authority  of 
such  county,  municipality,  school  district  or  other  sub- 
division of  the  state,  to  serve  until  removed  under  the 
provisions  of  this  Act.  Whenever  a  vacancy  exists  in 
the  office  of  Civil  Service  Commissioner  the  chief 
appointing  authority  shall  make  requisition  upon  the 
State  Civil  Service  Commission,  and  the  said  Commis- 
sion shall  certify  to  such  authority  the  name  and  address 
of  the  person  standing  highest  upon  the  list  of  persons 
eligible  for  appointment  to  said  office,  and  the  appointing 
authority  shall  forthwith  appoint  the  person  so  certified 
by  the  said  Commission  therefor.^" 

^**  Attention  is  called  to  the  administration  of  the  merit  system  in 
New  Jersey  and  Massachusetts,  where  State  Commissions  have  direct 
control  of  the  services  of  counties  and  municipalities.  Such  an  ad- 
ministration of  the  law  has  brought  about  stability  and  uniformity 
of  enforcement  in  these  states.  If  in  the  interest  of  simplicity,  cfli- 
ciency  and  economy  of  government,  some  such  consolidation  should 
be  desirable,  the  provisions  relating  to  municipal,  county  and  school 
district  commissions  should  be  eliminated.  If  this  plan  is  adopted  sub- 
division (c)  of  section  2  should  be  eliminated.     The  committee  pre- 

207 


PUBLIC  PERSONNEL  ADMINISTRATION 

Section  7.  Appointment  of  Local  Commissions: 
In  each  of  the  municipaUties  of  the  state  having  a  popu- 
lation of  250,000  or  more  persons  as  shown  by  the  last 
census  taken  by  the  United  States,  there  is  hereby 
created  a  Municipal  Civil  Service  Commission  to  consist 
of  three  persons,  one  of  whom  shall  be  appointed  by  the 
chief  appointing  authority  of  such  municipality  to  serve 
during  the  term  of  office  of  the  appointing  authority  or 
until  removed  under  the  provisions  of  this  Act.  The 
other  two  members  of  the  Municipal  Civil  Service  Com- 
mission shall  be  in  the  classified  service  and  shall  possess 
the  same  powers  and  authority  as  the  third  member. 
Two  members  of  the  Civil  Service  Commission  shall 
constitute  a  quorum  for  the  transaction  of  business. 
Whenever  there  is  a  vacancy  in  the  office  of  the  Munic- 
ipal Civil  Service  Commissioner  in  the  classified  service 
the  chief  appointing  authority  shall  make  requisition 
upon  the  State  Civil  Service  Commission  and  the  said 
commission  shall  certify  to  such  authority  the  name  and 
address  of  the  person  standing  highest  upon  the  list  of 
persons  eligible  for  appointment  to  said  office  and  the 
appointing  authority  shall  forthwith  appoint  the  person 
so  certified  by  the  said  commission  therefor. 

In  municipalities  having  a  population  of  less  than 
250,000  persons,  as  shown  by  the  last  census,  and  in  all 
counties,  school  districts  and  other  subdivisions  of  the 
state  there  is  hereby  created  a  Civil  Service  Commission, 
to  consist  of  one  person  who  shall  be  in  the  classified 
service  and  who  shall  after  examination  and  certification 

sents  as  a  section  of  the  bill  a  provision  for  a  state  commission  with 
local  commissions  under  the  jurisdiction  and  control  of  the  state  board, 
the  state  commission  to  have  veto  power  over  all  changes  in  the  rules 
of  the  municipal  commission.  Opportunity  should  be  given  also  to 
municipalities  which  have  no  civil  service  law  to  exercise  the  option 
of  accepting  the  direct  control  of  the  state  commission.  In  some 
states  where  the  home  rule  sentiment  is  strong  the  civil  service  is 
recognized  as  a  state  function  and  the  state  commission  administers 
the  merit  system  directly. 

208 


APPENDIX  2 

as  above  provided  be  appointed  by  the  chief  appointing 
authority  of  such  municipality,  county,  school,  district, 
or  other  subdivision,  to  serve  until  removed  under  the 
provisions  of  this  Act. 

Section  8.  Acting  Commissioner  in  Certain 
Cases  :  In  case  of  death,  resignation,  removal,  absence, 
or  incapacity  of  a  Civil  Service  Commissioner,  the  chief 
examiner  subordinate  to  such  Commissioner  shall  per- 
form the  duties  of  such  Commissioner  until  such  absence 
or  incapacity  shall  cease,  or  until  an  appointment  under 
the  provisions  of  this  Act  shall  be  made.  Such  acting 
Civil  Service  Commissioner  shall  have  all  the  powers 
of  a  Civil  Service  Commissioner. 

Section  9.  Commissioners  to  Hold  No  Other 
Office:  No  Civil  Service  Commissioner  shall  hold  any 
other  lucrative  office  or  employment  under  the  United 
States,  the  State,  or  any  county,  municipality  or  other 
subdivision  thereof. 

Section  10.  Salary  and  Expenses:  The  State 
Civil  Service  Commissioner  and  each  Municipal  Civil 
Service  Commissioner  in  municipalities  having  a  popu- 
lation of   five  hundred  thousand  or  more  inhabitants 

shall  receive  an  annual  salary  of  not  less  than 

thousand  dollars. ^^  Each  Civil  Service  Commissioner 
shall  be  paid  his  necessary  traveling  expenses  incurred 
in  the  discharge  of  his  official  duty.  It  shall  be  the  duty 
of  the  respective  financial  authorities  of  the  state, 
counties,  municipalities,  school  districts  and  subdivisions 
of  the  state  to  make  adequate  provision  to  enable  the 
Commission  to  carry  out  the  purposes  of  this  Act. 

Section  11.  Use  of  Public  Buildings:  It  shall  be 
the  duty  of  all  officers  of  the  state  and  of  the  several 
counties,  municipalities,  school  districts  and  other  sub- 

^^  The    salary    of    such    Civil    Service    Commissioner    should    not 
be  less  than  that  of  the  head  of  a  state  or  city  department. 

209 


PUBLIC  PERSONNEL  ADMINISTRATION 

divisions  of  the  state,  to  allow  the  reasonable  use  of 
public  buildings  and  rooms  and  to  heat  and  light  the 
same  for  the  holding  of  any  examinations  or  investiga- 
tions provided  for  by  this  Act,  and  in  all  proper  ways  to 
facilitate  the  work  of  any  of  the  Civil  Service  Com- 
missions. 

Section  12.  Removal  of  Commissioner:  No  Civil 
Service  Commissioner  shall  be  removed  except  for 
cause,  upon  written  charges  and  after  an  opportunity 
to  be  heard  ia  his  own  defense.  Such  charges  may  be 
filed  by  any  citizen  or  taxpayer.  If  made  against  a  State 
Civil  Service  Commissioner,  they  shall  be  filed  with  the 
person  holding  the  office  of  chief  justice  ^^  of  the  highest 
court  of  the  state.  If  made  against  any  other  Commis- 
sioner, they  shall  be  filed  with  the  State  Commission. 
The  charges  shall  be  heard,  investigated,  and  deter- 
mined by  the  person  holding  the  office  of  chief  justice, 
as  aforesaid,  or  by  some  person  or  board  ^^  appointed 
by  him  for  that  purpose,  if  made  against  a  State  Com- 
missioner, and  by  the  State  Civil  Service  Commission, 
if  made  against  any  other  Commissioner.  The  findings 
and  decision  upon  such  hearing  shall  be  final,  and  shall 
be  certified  to  the  appointing  authority  and  forthwith 
enforced  by  such  authority.  The  person,  board,  or  State 
Civil  Service  Commission,  as  the  case  may  be,  hereby 
authorized  to  hold  such  hearing,  shall  have  power  to 
administer  oaths  and  to  compel  the  attendance  and  testi- 
mony of  witnesses  and  the  production  of  books  and 
papers.  Each  person  appointed  to  hold  such  hearing 
under  this  section  shall  receive  the  compensation  pro- 
vided by  law  for  special  examiners,  referees  or  similar 
officers.    No  person  shall  be  eligible  for  such  an  appoint- 

^^  Constitutional  prohibitions  in  some  states  may  prevent  the 
chief  justice  to  act  as  a  trial  officer. 

^^  In  states  where  there  are  official  referees  or  other  correspond- 
ing officers,  it  is  recommended  that  three  such  persons  shall  be  ap- 
pointed. 

210 


APPENDIX  2 

ment  unless  at  least  ten  years  theretofore  he  has  been 
called  to  the  bar  of  a  court  of  record  within  the  state. 

Section  13.  Continuance  of  Present  Incum- 
bents: Records:  Any  person  holding  the  office  of 
Civil  Service  Commissioner  on  the  date  this  Act  takes 
effect,  shall  continue  to  hold  such  office  as  a  temporary 
appointee  only  until  such  time  as  a  regular  appointment 
thereto  under  the  provision  of  this  Act  can  be  made. 
Public  records  of  any  Civil  Service  Commission  existing 
on  the  date  this  Act  takes  effect  shall  be  delivered  to  the 
corresponding  Commission  created  until  this  Act,  and 
all  lawful  eligible  lists,  acts,  and  proceedings  of  said 
Commission  shall  remain  in  full  force  and  effect. 

Section  14.  Jurisdiction  :  The  State  Civil  Service 
Commission  shall  have  jurisdiction  over  all  persons  and 
positions  in  the  classified  service  of  the  state;  each 
County  Civil  Service  Commission,  and  each  municipal, 
or  other  Civil  Service  Commission  shall  have  jurisdic- 
tion over  all  persons  and  positions  classified  in  the 
service  of  their  respective  counties,  municipalities,  or 
other  subdivisions  of  the  state. 

Section  15.  Investigations:  Each  Commission 
shall  investigate  the  enforcement  and  effect  of  this  Act 
and  of  the  rules  made  pursuant  hereto,  the  conduct  of 
the  employees  in  the  classified  service,  the  methods  of 
administration  therein  and  the  nature,  tenure,  and  com- 
pensation of  all  offices  and  places  in  the  service.  It  shall 
investigate  the  efficiency  of  all  officers  and  employees 
and  all  groups  of  officers  and  employees  in  the  classified 
service,  and  shall  communicate  to  the  officer,  board,  or 
other  authority  in  charge  of  any  department,  institution, 
or  office,  its  findings  with  recommendations  for  in- 
creased efficiency  and  economy  therein. 

In  the  course  of  any  investigation  or  hearing  under 

the  provisions  of  this  Act  each  Commissioner  and  each 

211 


PUBLIC  PERSONNEL  ADMINISTRATION 

person  or  board  appointed  by  said  Commission  to  make 
any  such  investigation  or  to  conduct  any  such  hearing, 
may  administer  oaths,  and  shall  have  power  to  secure  by 
subpoena  the  attendance  and  testimony  of  witnesses  and 
the  production  of  books  and  papers. 

Section  i6.  Attendance  of  Witnesses;  Fees; 
False  Oaths:  Any  person  who  shall  be  served  with  a 
subpoena  to  appear  and  testify  or  to  produce  books  and 
papers  issued  in  the  course  of  an  investigation  conducted 
under  any  provision  of  this  Act  who  shall  disobey  or 
neglect  to  obey  any  such  subpoena  shall  be  guilty  of  a 
misdemeanor  and  shall,  on  conviction,  be  punished  as 
provided  in  this  Act.  The  fees  of  witnesses  for  attend- 
ance and  travel  shall  be  the  same  as  fees  of  witnesses 
before  the  nisi  prius  courts,  and  shall  be  paid  from  the 
appropriation  for  the  expenses  of  the  Commission.  Any 
judge  of  a  court  of  record,  either  in  term,  time  or  vaca- 
tion, upon  application  of  any  such  Commissioner  or 
person  or  board,  shall  compel  the  attendance  of  wit- 
nesses, the  production  of  books  and  papers,  and  the 
giving  of  testimony  before  the  Commission,  or  before 
any  such  commissioners,  investigating  board  or  person 
by  attachment,  or  contempt,  or  otherwise,  in  the  same 
manner  as  the  production  of  evidence  shall  be  compelled 
before  said  court.  Every  person  who,  having  taken  an 
oath  or  made  affirmation  in  the  course  of  any  investiga- 
tion or  hearing  under  the  provisions  of  this  Act,  shall 
willfully  and  knowingly  testify  or  declare  falsely,  shall 
be  guilty  of  perjury  and  upon  conviction  shall  be  pun- 
ished accordingly.  No  person  shall  be  compelled  to  give 
self -incriminating  testimony. 

Section  17.  Standards  and  Grades:  The  Commis- 
sion shall  classify  and  grade  all  positions  in  the  classified 
service.  The  Commission  shall  ascertain  and  record  the 
duties  of  each  position  in  the  service,  and  wherever  it 

212 


APPENDIX  2 

appears  that  two  or  more  positions  in  a  service  have 
duties  which  are  substantially  similar  in  respect  to  the 
authority,  responsibility  and  character  of  work  required 
in  the  performance  thereof,  they  shall  be  placed  in  the 
same  grade,  which  the  Commission  shall  designate  by  a 
title  indicative  of  such  duties.  Grades  having  duties  of 
the  same  general  nature  and  in  the  same  line  of  promo- 
tion shall  be  placed  in  the  same  class,  and  the  lines  of 
promotion  definitely  specified.  For  each  grade,  the 
Commission  shall  prescribe  a  standard  maximum  and 
minimum  salary  or  rate  of  pay  and  shall  report  to  the 
appropriation  authorities  the  rate  being  paid  for  analo- 
gous service  in  both  public  and  private  employment, 
together  with  other  information  pertaining  to  a  proper 
rate  of  pay  for  the  service  over  which  the  Commission 
has  jurisdiction.  The  Commission  shall  by  rule  pre- 
scribe the  minimum  period  of  service  in  the  grade  re- 
quired before  a  salary  may  be  advanced  or  increased 
and  a  minimum  standard  of  efficiency  requisite  for  such 
salary  advancement  or  increase.  The  lowest  salary  or 
rate  of  pay  provided  for  any  position  in  the  grade  shall 
constitute  the  grade  pay  and  no  person  in  such  grade 
shall  receive  pay  in  excess  of  the  grade  pay  unless  he  is 
certified  by  the  Commission  as  having  served  the  period 
required  by  said  rule  with  an  efficiency  rating  given  by 
the  Commission  equivalent  to  the  minimum  standard  of 
efficiency  required  thereby.  No  person  shall  be  paid 
an  amount  greater  than  the  maximum  salary  or  rate 
of  pay  prescribed  by  the  Commission  for  the  grade  in 
which  he  serves.  Nothing  in  this  Act  shall  prevent  the 
authorities  charged  by  law  with  appropriations  for 
salaries  from  changing  the  pay  of  all  positions  in  a 
grade. 

Salary  advancement  or  increase  shall  be  made  within 
the  several  grades  only  in  the  order  of  highest  efficiency 
combined  with  relative  seniority  as  shown  by  the  records 

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PUBLIC  PERSONNEL  ADMINISTRATION 

of  the  Commission.  Where  there  are  no  records  of 
efficiency  covering  a  period  of  continuous  service  for  six 
months  or  more  a  minimum  standard  of  efficiency  dur- 
ing such  period  shall  be  presumed. 

Section  i8.  Certification  of  Payrolls:  When- 
ever a  position  in  the  classified  service  is  graded  and  the 
rate  of  pay  therefor  prescribed  as  provided  in  this  Act, 
no  treasurer,  auditor,  comptroller  or  other  officer  of  the 
state  or  of  any  of  the  counties,  municipalities  or  other 
subdivisions  of  the  state  shall  approve  the  payment  of 
or  be  in  any  manner  concerned  in  paying,  auditing,  or 
approving  any  salary,  wage  or  other  compensation  for 
services  to  any  person  holding  such  position  unless  a 
payroll,  estimate  or  account  of  such  salary,  wage  or 
other  compensation  containing  the  names  of  the  persons 
to  be  paid,  a  statement  of  the  amount  to  be  paid  each 
such  person  and  the  services  on  account  of  which  the 
same  is  paid  bearing  the  certificate  of  the  Commission 
that  the  persons  named  in  such  payroll,  estimate  or 
account  have  been  appointed  or  employed  in  pursuance 
of  law  and  of  the  rules  made  by  the  Commission  under 
the  provisions  of  this  Act  and  have  complied  with  the 
terms  of  this  Act  and  of  the  rules  of  the  commission 
when  required  so  to  do,  shall  have  been  filed  with  him. 
Before  making  any  such  certificate  the  Commission 
shall  investigate  the  nature  of  each  item  of  such  payroll, 
estimate  or  account,  and  if  it  shall  ascertain  that  the 
provisions  of  the  law  in  respect  to  any  such  item  have 
not  been  strictly  complied  with  it  shall  refuse  to  certify 
such  item. 

The  Commission  shall  refuse  to  certify  the  pay  of 
any  public  officer  or  employee  who  shall  willfully  or 
through  culpable  negligence  violate  or  fail  to  comply 
with  the  provisions  of  this  Act  or  of  the  rules  of  the 
Commission. 

214 


APPENDIX  2 

Section  19.  Efficiency  Standards:  The  Commis- 
sion shall  by  rule  prescribe  standards  of  efficiency  for 
each  grade  of  the  service  and  for  examinations  therefor, 
and  it  shall  make  and  keep  a  record  of  the  relative  effi- 
ciency of  all  persons  in  each  grade.  It  shall  provide  by 
rule  methods  for  ascertaining  and  verifying  the  facts 
from  which  such  records  of  relative  efficiency  shall  be 
made,  which  shall  be  uniform  for  each  grade. 

Section  20.  Rules  and  Powers  :  The  Commission 
shall  make  rules  to  carry  out  the  purposes  of  this  Act, 
including  among  other  things  rules  for  improving  and 
regulating  the  classified  service  by  this  Act  for  the 
classification  of  all  positions  in  the  classified  service,  for 
grading  positions  in  the  service,  for  establishing  uni- 
form salaries  in  each  grade,  for  examinations  uniform 
for  each  grade,  for  appointments,  removals,  promotions, 
transfers,  lay-offs,  reinstatements,  suspensions,  leaves 
of  absence,  changes  in  compensation  or  title,  for  promot- 
ing efficiency  and  economy  in  the  service,  for  defining 
cause  or  causes  for  removal  from  the  service,  provided 
that  nothing  herein  shall  limit  or  afTect  the  power  of 
suspension  and  removals  granted  by  section  25  of  this 
Act,  for  regulating  the  certification  of  the  payroll  and 
for  maintaining  and  keeping  records  of  the  efficiency 
of  persons,  both  as  individuals  and  in  groups,  holding 
positions  in  the  service.  The  Commission  may  at  any 
time  authorize  the  transfer  of  any  employee  in  the  classi- 
fied service  from  one  position  to  another  position  in  the 
same  grade  and  not  otherwise,  provided,  however,  that 
persons  who  have  not  been  examined  and  certified  under 
the  provisions  of  this  Act  shall  not  be  entitled  to  trans- 
fer. The  Commission  may  from  time  to  time  make 
changes  in  such  rules,  provided,  however,  that  such  rules 
shall  not  be  changed  by  the  Commission  at  the  meeting 
at  which  such  action  is  proposed  and  no  final  action  shall 
be  taken  thereon  until  after  a  public  hearing,  of  which 

215 


PUBLIC  PERSONNEL  ADMINISTRATION 

the  Commission  shall  give  five  days'  public  notice.  All 
rules  made  as  herein  provided  and  all  changes  therein 
shall  forthwith  be  printed  for  distribution  by  said  Com- 
mission. Said  Commission  shall  give  public  notice  of 
the  place  or  places  where  such  rules  may  be  obtained, 
and  in  each  such  publication  shall  be  specified  the  date, 
not  less  than  ten  days  subsequent  to  the  date  of  such 
publication,  when  such  rules  of  changes  therein  shall 
take  effect. 

Section  21.  Charges  Against  Local  Commis- 
sions: Whenever  the  State  Civil  Service  Commission 
shall  have  reason  to  believe  that  cause  exists  for  the 
removal  of  any  other  Civil  Service  Commissioner  it  shall 
institute  an  investigation,  and  if  it  shall  find  any  such 
cause  shall  file  charges  or  cause  the  same  to  be  filed 
under  the  provisions  of  Section  12  of  this  Act. 

Section  22.    Appointments: 

(a)  Whenever  a  position  in  the  classified  service 
becomes  vacant,  the  appointing  authority,  if  it  de- 
sires to  fill  the  vacancy,  shall  make  requisition  upon 
the  Commission  for  the  name  and  address  of  a  per- 
son eligible  for  appointment  thereto.  The  Commis- 
sion shall  certify  to  the  appointing  authority  the 
name  and  address  of  the  person  ^^  having  the  highest 
standing  based  upon  examination,  rating  and  senior- 
ity in  service  within  the  grade  in  which  said  position 
is  granted,  provided  such  person  has  been  previously 
examined  as  provided  in  this  Act  for  a  position  in 
said  grade,  and  has  been  separated  from  the  service 

^^  The  state  constitution  in  New  York  has  been  held  to  require 
the  certification  of  more  than  one  name  for  each  vacancy  and  in 
New  York,  Massachusetts,  the  Federal  service  and  frequently  else- 
where the  rule  for  certifying  not  more  than  three  names  is  in  force 
and  may  be  considered  as  an  alternative  provision  where  local  con- 
ditions demand  it.  The  following  may  be  substituted:  The  Com- 
mission shall  certify  to  the  appointing  authority  the  name  of  one  of 
the  three  persons  having  the  highest  standing,  etc. 

216 


APPENDIX  2 

without  fault  or  delinquency  on  his  part  at  any  time 
within  two  years  prior  to  the  date  of  such  requisi- 
tion, and  provided  such  person  is  not  actually  and 
regularly  employed  in  said  grade  on  the  date  of  such 
requisition.  If  there  is  no  such  person  eligible  for 
reinstatement,  the  Commission  shall  certify  to  the 
appointing  authority  the  name  and  address  of  the 
person  standing  highest  upon  the  list  of  eligibles 
resulting  from  an  examination  for  the  position  in 
said  grade. 

(b)  If  there  is  no  person  eligible  for  reinstate- 
ment, and  no  such  list  of  eligibles,  the  Commission 
may  in  its  discretion  certify  to  the  appointing  author- 
ity the  name  and  address  of  a  person  for  temporary 
appointment,  wdth  or  without  examination,  and  the 
appointing  authority  shall  forthwith  appoint  said 
person  from  day  to  day  not  to  exceed  ninety  days 
pending  examination.  The  Commission  shall  forth- 
with proceed  to  hold  an  examination  as  herein  pro- 
vided for  such  grade  whenever  such  temporary  ap- 
pointment is  made.  If  after  an  examination  is  held 
no  eligible  list  shall  result  the  Commission  shall 
forthwith  proceed  to  hold  another  examination  for 
such  grade  and  may  then  authorize  the  continuance 
of  said  temporary  appointment  but  not  otherwise. 

(c)  Whenever  requisition  is  so  made,  or  when- 
ever a  position  is  held  by  a  temporary  appointee  and 
a  reinstatement  list  or  eligible  list  for  the  grade  of 
such  position  exists,  the  Commission  shall  forthwith 
certify  the  name  and  address  of  the  person  eligible 
for  appointment  to  the  appointing  authority  and  said 
appointing  authority  shall  forthwith  appoint  the  per- 
son so  certified  to  said  position.  No  person  so  cer- 
tified shall  be  laid  off,  suspended,  given  leave  of 
absence  from  duty,  transferred  or  reduced  in  pay 
or  grade  except  for  reasons  which  will  promote  the 

217 


PUBLIC  PERSONNEL  ADMINISTRATION 

good  of  the  service,  specified  in  writing,  and  after 
an  opportunity  to  be  heard  by  the  Commission,  and 
then  only  with  its  consent  and  approval. 

(d)  Appointments  shall  be  regarded  as  taking 
effect  upon  the  date  when  the  person  certified  for 
appointment  reports  for  duty.  A  person  tendered 
certification  may  waive  or  refuse  certification  in 
writing  for  a  period,  for  reasons  satisfactory  to  the 
Commission,  and  such  waiver  or  refusal  shall  not 
affect  the  standing  or  right  to  certification  to  the 
first  vacancy  in  the  grade  occurring  after  the  expira- 
tion of  such  period.  If  no  such  waiver  or  refusal  is 
filed  in  writing  with  the  Commissioner,  and  if  after 
one  waiver  had  been  filed  and  the  period  thereof  has 
expired  and  a  person  tendered  certification  fails  to 
report  for  duty  forthwith  after  tender  of  certifica- 
tion has  been  made,  his  name  may  at  the  discretion 
of  the  Commission  be  stricken  from  all  lists  for  such 
grade.  Acceptance  or  refusal  of  temporary  appoint- 
ment or  of  an  appointment  to  a  position  exempt  from 
the  provisions  of  this  Act  shall  not  affect  the  stand- 
ing of  any  person  on  the  list  for  permanent  ap- 
pointment. 

(e)  No  person  shall  be  eligible  for  appointment 
to  any  positions  in  the  classified  service  unless  he 
shall  have  obtained  as  a  result  of  an  examination  for 
appointment  within  the  grade  such  minimum  mark 
as  may  be  fixed  by  the  Commission  for  any  subject 
or  part  of  the  examination,  and  a  general  average 
upon  all  subjects  or  parts  of  such  examination  of  not 
less  than  the  minimum  fixed  by  the  rules  of  the  Com- 
mission. 

(/)  Before  an  appointment  or  promotion  is 
made  complete  the  person  certified  by  the  Commis- 
sion shall  serve  a  period  of  probation  not  to  exceed 
six  months,  during  which  period  a  probationer  may 

218 


APPENDIX  2 

be  discharged  or  reduced  with  the  consent  of  the 
Commission. 

Section  23.    Examinations: 

(a)  All  original  entrance  examinations  shall  be 
public,  competitive  and  free  to  all  persons  who  may 
be  lawfully  appointed  to  any  position  within  the 
grade  for  which  such  examinations  are  held,  with 
limitations,  specified  in  the  rules  of  the  Commission, 
as  to  residence,  age,  sex,  health,  habits,  moral  char- 
acter, and  prerequisite  qualifications  to  perform  the 
duties  of  such  positions.  Promotion  examinations 
shall  be  public,  competitive,  and  free  only  to  all  per- 
sons examined  and  certified  under  the  provisions  of 
this  Act  and  who  have  held  a  position  for  one  year 
or  more  in  a  grade  previously  declared  by  the  Com- 
mission to  involve  the  performance  of  duties  which 
tend  to  fit  the  incumbent  for  the  performance  of  duty 
in  the  grade  for  which  the  promotion  examination  is 
held.  In  promotion  examinations  efficiency  and 
seniority  in  service  shall  form  part  of  such  examina- 
tion. The  Commission  shall  determine  in  filling 
positions  if  promotion  examinations  are  practicable 
and  hold  open  competitive  examinations  if  the  ser- 
vice conditions  require. 

(b)  The  Commission  shall  hold  promotion  ex- 
aminations for  each  superior  grade  of  service  when- 
ever there  is  an  inferior  grade  in  the  same  class,  the 
duties  of  which  directly  tend  to  fit  the  incumbents 
thereof  for  the  performance  of  the  duties  of  the 
superior  grade.  A  person  who  has  served  less  than 
one  year  in  a  lower  grade  shall  not  be  eligible  for  a 
promotion  examination.  If  less  than  two  persons 
submit  themselves  for  a  promotion  examination,  or 
if  after  such  examination  is  held,  all  applicants  fail 
to  attain  a  general  average  of  not  less  than  the 
minimum  standing  fixed  by  the  rules  of  the  Commis- 

219 


PUBLIC  PERSONNEL  ADMINISTRATION 

sion,  it  shall  forthwith  hold  an  original  entrance  ex- 
amination and  may  at  any  time  within  six  months 
certify  from  the  eligible  list  resulting  therefrom. 

(c)  All  examinations  shall  be  practical  in  their 
character,  and  shall  consist  only  of  subjects  which 
will  fairly  determine  the  capacity  of  the  persons  ex- 
amined to  perform  the  duties  of  the  position  to  which 
appointment  is  to  be  made,  and  may  include  exami- 
nations of  physical  fitness  or  of  manual  skill.  No 
credit  shall  be  allowed  for  service  rendered  under 
a  temporary  appointment.  No  question  in  any  exam- 
ination shall  relate  to  political  opinions  or  afTfiliations. 
No  questions  which  are  misleading  or  unfair  or  in 
the  nature  of  catch  questions  shall  be  asked.  The 
Commission  shall  control  all  examinations  and  may 
designate  special  examiners  to  conduct  and  hold  such 
examinations  as  the  Commission  may  direct  and  to 
make  return  and  report  thereof  to  it.  The  Commis- 
sion may  at  any  time  substitute  any  other  person  in 
the  place  of  any  person  so  designated,  and  may  itself 
act  as  such  examining  authority  without  designating 
special  examiners.^^  As  many  examinations  shall  be 
held  as  may  be  necessary  to  provide  eligibles  for 
each  grade  of  the  service,  and  to  meet  all  requisitions 
and  to  fill  all  positions  held  by  temporary  appointees. 
From  the  return  and  report  of  the  examiners,  or 
from  the  examinations  made  by  the  Commission,  it 
shall  prepare  a  list  of  eligibles  for  each  grade  of  the 
persons  who  shall  attain  such  minimum  mark  as  may 
be  fixed  by  the  Commission  for  the  service  parts 
of  such  examination,  and  whose  general  average 
standing  upon  the  examination  for  such  grade  is  not 
less  than  the  minimum  fixed  by  the  rules  of  the  Com- 

^^  In  examinations  for  grades  having  duties  involving  a  profes- 
sion, vocation  or  trade  generally  recognized  as  a  specialty,  at  least 
one  of  the  examiners  should  be  a  person  with  practical  experience 
in  and  knowledge  of  such  specialty. 

220 


APPENDIX  2 

mission,  and  who  may  lawfully  be  appointed.  Such 
persons  shall  take  rank  upon  the  list  in  the  order  of 
their  relative  excellence  as  determined  by  the  exam- 
ination without  reference  to  priority  of  time  of  ex- 
amination. The  markings  of  all  examinations  shall 
be  completed  and  the  resulting  eligible  list  posted 
w^ithin  ninety  days  from  the  date  of  the  examination. 
The  Commission  shall  cancel  such  portion  of  any  list 
as  has  been  in  force  for  more  than  two  years,  but 
not  otherwise. 

(d)  The  markings  and  examination  papers  of 
each  candidate  shall  be  open  to  his  own  inspection, 
and  the  markings  and  examination  papers  of  all  per- 
sons upon  any  list  of  eligibles  shall  be  open  to  public 
inspection  within  ten  days  after  an  eligible  list  has 
been  prepared.  An  error  in  the  marking  of  any  ex- 
amination other  than  an  error  of  judgment,  if  called 
to  the  attention  of  the  Commission  within  one  month 
after  the  posting  of  an  eligible  list  resulting  from 
such  examination,  shall  be  corrected  by  it ;  provided, 
however,  that  such  correction  shall  not  invalidate 
any  certification  or  appointment  previously  made. 
Notice  of  the  time,  place,  and  general  scope  of  every 
examination  and  of  the  duties,  pay  and  experience 
advantageous  or  requisite  for  all  positions  in  the 
grade  for  which  the  examination  is  to  be  held  shall 
be  given  by  the  Commission  by  publication  at  least 
once  a  week  for  two  weeks  preceding  the  examination 
in  a  newspaper  of  general  circulation  published  in 
the  county  or  municipality  in  which  the  examination 
is  to  be  held.  Such  further  notice  shall  be  given  as 
the  Commission  may  prescribe. 

Section  24.  Reports  to  the  Commission:  Imme- 
diate report  in  writing  shall  be  given  to  the  Commission 
by  the  appointing  authority  and  by  such  other  persons  as 
may  be  designated  by  the  Commission,  of  all  appoint- 

221 


PUBLIC  PERSONNEL  ADMINISTRATION 

ments,  reinstatements,  vacancies,  absences,  or  other 
matters  affecting  the  status  of  positions  or  the  per- 
formance of  duties  of  officers  or  employees  classified 
under  the  provisions  of  this  Act  and  all  such  notices 
shall  be  prepared  in  the  manner  and  form  prescribed  by 
the  Commission. 

Section  25.  Removal:  No  person  holding  an  office 
or  place  in  the  classified  service,  except  Civil  Service 
Commissioners  and  persons  laid  off  from  duty  whom  this 
Act  provides  shall  not  be  entitled  to  reinstatement,  shall 
be  removed  or  discharged  except  for  cause,  upon  written 
charges  and  after  an  opportunity  to  be  heard  in  his  own 
defense.  Such  charges  may  be  filed  by  any  superior 
officer,  any  citizen,  or  taxpayer,  and  shall  within  thirty 
days  after  filing  be  heard,  investigated  and  determined 
by  the  Commission  or  by  some  person  or  board  ap- 
pointed by  the  Commission  to  hear,  investigate  and 
determine  the  same/^ 

The  finding  and  decision  of  the  Commission,  or  of 
such  person  or  board  when  approved  by  the  Commission, 
shall  be  final  and  shall  be  certified  to  the  appointing 
authority  and  shall  be  forthwith  enforced  by  such  au- 
thoritv. 

Nothing  herein  contained  shall  limit  the  power  of 
any  superior  officer  to  suspend  a  subordinate  for  a  rea- 
sonable period  not  exceeding  fifteen  days  pending  hear- 
ing and  decision.  Every  such  suspension  shall  be 
without  pay;  provided,  however,  that  the  Commission 
shall  have  authority  to  investigate  every  such  suspen- 
sion, and  in  case  of  its  disapproval  it  shall  have  power 
to  restore  pay  to  the  employee  so  suspended. 

Nothing  herein  contained  shall  limit  the  power  of  any 
appointing  officer  to  suspend  or  dismiss  a  subordinate 

1^  The  composition  of  the  removal  board  should  be  similar  to 
that  of  a  board  of  examination  for  a  position  involving  a  profession 
(see  note  15). 

222 


APPENDIX  2 

for  any  cause  which  will  promote  the  efficiency  of  the 
service,  upon  filing  with  the  Commission  written  reasons 
for  such  action  and  giving  the  person  whose  removal  is 
sought  reasonable  notice  of  the  same,  and  of  any  charges 
preferred  against  him,  and  an  opportunity  to  answer 
the  same  in  writing,  and  to  file  with  the  Commission 
affidavits  in  support  of  such  answer.  But  no  trial  shall 
be  required  except  in  the  discretion  of  the  officer  making 
the  removal.  All  papers  filed  in  the  case  shall  be  public 
records.  The  Commission  may  reinstate  an  officer  or 
employee  so  removed  only  in  case  it  appears  after  a 
proper  hearing  that  the  removal  was  made  for  political 
or  religious  reasons. ^^ 

Orders  or  directions  given  by  a  superior  to  a  subordi- 
nate, when  contrary  to  a  provision  of  law  or  to  a  general 
rule  or  order  lawfully  made,  shall  be  given  in  writing; 
and  in  proceedings  under  this  section  it  shall  be  no  de- 
fense or  excuse  for  a  forbidden  act  or  for  an  omission  to 
observe  the  law  or  any  such  rule  or  order  that  the  act 
or  omission  was  directed  by  a  superior,  unless  a  written 
direction  or  order  from  such  superior  to  that  effect  is 
proved. 

Section  26.  Reports  by  the  Commission:  The 
Commission  shall  investigate  and  report  annually  to  the 
appointing  authority  concerning  the  administrative 
needs  of  the  service,  the  personnel  and  positions  in  the 
service,  and  the  compensation  provided  therefor,  for 
examinations  held  by  the  Commission,  the  appointments 
made,  efficiency  ratings  and  removals  in  the  Civil 
Service,  the  operation  of  the  rules  of  the  Commission 
and  recommendations  for  promoting  efficiency  and 
economy  in  the  service,  with  details  of  expenditure  and 
progress  of  work.     The  appointing  authority  may  re- 

^■^  The  Chicago,  Illinois,  New  Jersey,  and  New  York  Associations 
have  approved  the  principle  granting  to  the  Civil  Service  Coniniis- 
sion  exclusive  jurisdiction  over  removals,  which  would  be  accom- 
plished by  striking  out  this  paragraph, 

223 


PUBLIC  PERSONNEL  ADMINISTRATION 

quire  a  report  from  said  Commission  at  any  time  re- 
specting any  matter  within  the  scope  of  its  duties  here- 
under. The  records  of  the  Commission  shall  be  open  to 
public  inspection  by  any  citizen  under  reasonable  super- 
vision. 

Section  27.  Abuses  and  Frauds  Prohibited:  No 
person  shall  willfully  or  corruptly  make  any  false  mark 
or  report  upon  any  examination.  No  person  shall,  by 
himself  or  in  cooperation  with  one  or  more  persons,  will- 
fully or  corruptly  defeat,  deceive,  or  obstruct  any  person 
in  respect  to  his  or  her  right  of  test  under  the  provisions 
of  this  Act  or  falsely  mark,  grade,  estimate,  or  report 
upon  the  test  or  standing  of  any  person  tested  here- 
under, or  aid  in  so  doing,  or  furnish  to  any  person,  ex- 
cept in  answer  to  inquiries  of  the  Commission,  any 
special  information  for  the  purpose  of  either  improving 
or  injuring  the  rating  of  any  such  person  for  appoint- 
ment or  employment.  No  applicant  shall  deceive  the 
Commission  for  the  purpose  of  improving  his  chances 
or  prospects  for  appointment.  No  person  shall  solicit, 
orally  or  by  letter,  and  no  public  officer  or  employee 
shall  receive  or  be  in  any  manner  concerned  in  the  re- 
ceiving or  soliciting  of  any  money  or  valuable  thing 
from  any  officer  or  employee  holding  a  position  in  the 
classified  service  for  any  political  party  or  purpose  what- 
soever. No  person  shall  solicit,  pay,  give,  or  receive  in 
any  public  building  any  money  or  valuable  thing  for  any 
partisan  political  purpose  whatsoever.  No  person  shall 
use  or  promise  to  use  his  influence  or  official  authority 
to  secure  any  appointment  or  prospect  of  appointment 
to  any  position  classified  under  this  Act  as  a  reward  or 
return  for  personal  or  partisan  political  service.  No 
public  officer  or  employee  shall,  by  means  of  threats  or 
coercion  induce  or  attempt  to  induce  any  person  holding 
a  position  in  the  classified  service  to  resign  his  position 
or  to  take  a  leave  of  absence  from  duty  or  to  waive  any 

224 


APPENDIX  2 

of  his  rights  under  this  Act.  No  person  about  to  be 
appointed  to  any  position  classified  shall  sign  or  execute 
a  resignation  dated  or  undated  in  advance  of  such  ap- 
pointment.   Any  such  resignation  shall  be  of  no  effect. 

Section  28.  Political  Activity:  No  person  hold- 
ing an  office  or  place  in  the  classified  service  under  the 
provisions  of  this  Act  shall  seek  or  accept  election,  nomi- 
nation, or  appointment  as  an  officer  of  a  political  club  or 
organization  or  take  an  active  part  in  a  political  cam- 
paign or  serve  as  a  member  of  a  committee  of  any  such 
club  or  organization  or  circulate  or  seek  signatures  to 
any  petition  provided  for  by  any  primary  or  election  law 
or  act  as  a  worker  at  the  polls,  or  distribute  badges, 
colors,  or  indicia  favoring  or  opposing  a  candidate  for 
election  or  nomination  to  a  public  office,  whether  federal, 
state,  county,  or  municipal,  or  permit  the  use  of  his 
name  for  nomination  or  election  to  any  public  office; 
provided  however,  that  nothing  in  this  Act  shall  be 
construed  to  prohibit  or  prevent  any  such  officer  or 
employee  from  becoming  or  continuing  to  be  a  member 
of  a  political  club  or  organization  or  from  attendance 
upon  political  meetings,  from  enjoying  entire  freedom 
from  all  interference  in  casting  his  vote  and  from  seek- 
ing or  accepting  election  or  appointment  to  the  office  of 
public  school  director  or  of  member  of  a  board  of  educa- 
tion or  of  member  of  a  library  board. 

Section  29.  Penalties:  Any  person  who  shall 
willfully  or  through  culpable  negligence  violate  any  of 
the  provisions  of  this  Act,  or  of  the  rules  of  the  Com- 
mission, shall  be  guilty  of  a  misdemeanor,  and  shall  on 
conviction  thereof  be  punished  by  a  fine  of  not  less  than 
$50.00  and  not  more  than  $3,000.00,  or  by  imprison- 
ment for  a  term  not  exceeding  six  months,  or  by  both 
such  fine  and  imprisonment,  in  the  discretion  of  the 
court. 

225 


PUBLIC  PERSONNEL  ADMINISTRATION 

Section  30.  What  Oi^i^ice^rs  to  Prosi^cute::  Prose- 
cution for  violations  of  this  Act  may  be  instituted 
either  by  the  Attorney  General,  the  State's  Attorney,  or 
other  public  prosecuting  officer  for  the  county  in  which 
the  offense,  or  some  part  thereof,  is  alleged  to  have  been 
committed,  or  at  the  election  of  the  Civil  Service  Com- 
mission by  special  counsel  appointed  by  it.  Such  a 
prosecution  if  begun  by  a  public  prosecutor  shaU  be  con- 
ducted and  controlled  by  him  unless  and  until  his  term 
of  office  shall  expire  or  upon  his  request  some  other 
person  shall  be  substituted  as  prosecuting  officer  in  the 
particular  case. 

Whenever  the  Attorney  General,  the  State's  At- 
torney or  other  prosecuting  officer  for  the  county  in 
which  an  offense  under  this  Act  is  alleged  to  have  been 
committed  shall  refuse  to  prosecute  any  person  alleged 
to  have  committed  such  an  offense,  or  shall  fail  to 
prosecute  such  person  after  the  lapse  of  thirty  days  after 
the  alleged  offense  is  brought  to  his  attention,  then  any 
taxpayer  may  apply  to  any  judge  of  a  nisi  prius  court 
of  such  county  for  the  appointment  of  a  special  attorney 
to  conduct  a  prosecution  of  such  person  or  persons,  and 
upon  such  application  the  court  may  appoint  some  com- 
petent attorney  to  prosecute  the  person  or  persons  al- 
leged to  have  committed  the  off'ense,  and  the  special  at- 
torney so  appointed  shall  have  the  same  power  and  au- 
thority in  relation  to  any  such  prosecution  as  the  Attor- 
ney General,  the  State's  Attorney  or  other  prosecuting 
officer  would  or  might  have  had  if  such  special  attorney 
had  not  been  appointed. 

Section  31.  Civil  Suits:  It  shall  be  the  duty  of 
the  Commission  to  begin  and  conduct  all  civil  suits  which 
may  be  necessary  for  the  proper  enforcement  of  this 
Act  and  of  the  rules  of  the  Commission  and  to  defend 
all  civil  suits  which  may  be  brought  against  the  Com- 
mission.    The  Commission  shall  be  represented  in  such 

226 


APPENDIX  2 

suits  by  the  chief  legal  officer  of  the  state,  municipality 
or  other  subdivision  of  the  state,  but  said  Commission 
may  in  any  case  be  represented  by  special  counsel  ap- 
pointed by  it.  Any  taxpayer  of  the  state  may  maintain 
an  action  in  any  court  of  record  to  recover  for  the  treas- 
ury any  sums  paid  contrary  to  the  provisions  of  this 
Act  or  of  the  rules  of  the  Commission  from  the  person 
or  persons  authorizing  such  payment,  or  to  enjoin  the 
person  or  persons  from  making  such  payment,  or 
to  enjoin  the  Commission  from  attaching  its  certifi- 
cate to  a  payroll  in  violation  of  the  provisions  of  this 
Act. 

Section  32.  Repe^ai,  :  All  laws  or  parts  of  laws  in 
so  far  as  they  are  inconsistent  with  this  Act  or  any  of 
the  provisions  thereof,  are  hereby  repealed. 

Draft  of  a  Civil  Service  Law  for  Cities 

[This  draft  of  a  civil  service  law  for  cities  was  prepared  to  meet 
a  demand  in  the  work  of  the  National  Civil  Service  Reform  League. 
One  of  the  most  important  branches  of  that  work  is  the  extension  of 
the  merit  system  in  state  and  municipal  government.  From  all  parts 
of  the  country  requests  are  received  at  the  office  of  the  League  for 
forms  of  civil  service  laws  applicable  to  cities  of  varying  sizes.  In  re- 
sponse to  these  requests  the  League  has  furnished  copies  of  the  laws 
in  force  in  other  cities,  but  these  are  in  many  instances  the  result  of 
a  building  process  and  of  frequent  amendment,  while  in  other  cases 
they  are  distinctly  inadequate.  The  laws  applying  to  large  cities  con- 
tain provisions  which  are  either  entirely  unnecessary  or  far  too  com- 
plicated for  the  small  city.  There  was  urgent  need  for  a  simple  draft 
containing  the  most  essential  provisions  for  an  effective  merit  sys- 
tem and  suited  to  the  small  city,  to  which  additions  could  be  made 
to  meet  local  conditions  and  the  demands  of  a  larger  service. 

The  Committee  disavows  any  purpose  of  drawing  a  model  or  ideal 
civil  service  law.  It  has  purposely  omitted  those  provisions  which 
may  be  regarded  as  in  the  experimental  stage,  and  has  adopted  those 
only  that  have  been  proved  of  value  by  experience.  The  work  has 
been  done  by  comparing  existing  civil  service  laws,  selecting  from 
them  the  provisions  that  are  essential,  and  reducing  these  to  the 
simplest  language.  As  new  lines  of  activity  followed  by  civil  service 
commissions  prove  their  value,  provision  will  be  made  for  them  in 
future  drafts.  As  it  stands  we  are  prepared  to  show  existing  prece- 
dents for  every  provision  contained  in  it  and  the  actual  working 
of  these  provisions.] 

227 


PUBLIC  PERSONNEL  ADMINISTRATION 

Section  i.  The  mayor  ^  shall  appoint  three  persons 
as  civil  service  commissioners  to  serve  one  for  two  years, 
one  for  four  years  and  one  for  six  years.  Each 
alternate  year  thereafter,  the  mayor  ^  shall  appoint  one 
person  as  the  successor  of  the  member  whose  term  shall 
expire,  to  serve  for  six  years. ^  Any  vacancy  shall  be 
filled  by  the  mayor  ^  for  the  unexpired  term.  Not  more 
than  two  of  the  members  shall  be  adherents  of  the  same 
political  party  and  no  member  shall  hold  any  other 
salaried  public  office.  The  mayor  ^  may  remove  a  com- 
missioner during  his  term  of  office  only  upon  stating  in 
writing  the  reasons  for  removal  and  allowing  him  an 
opportunity  to  be  heard  in  his  own  defense. 

Sec.  2.  The  commission  shall  appoint  a  chief  exam- 
iner, at  an  annual  salary  of  $ ,^  who  shall  also 

act  as  secretary.  This  position  shall  be  in  the  competi- 
tive class.  The  Commission  may  appoint  such  other 
subordinates  as  may,  by  appropriation,  be  provided  for. 

Sec.   3.     The   civil   service   of   the   city   is   hereby 
divided  into  the  unclassified  and  the  classified  service. 
The  unclassified  service  shall  comprise: 

(a)  All  officers  elected  by  the  people. 

(b)  All  heads  of  principal  executive  departments.^ 

^  Or  "council"  in  those  commission  cities  in  which  the  appointing 
power  is  lodged  in  the  council. 

2  If  the  term  of  the  mayor  is  one  year,  the  terms  of  the  commis- 
sioners should  be  three  years,  one  expiring  each  year. 

^  Or,  in  commission  cities  where  the  council  is  the  appointing 
power,  "the  council  by  unanimous  vote." 

*  This  amount  should  be  stated  but  will  vary  according  to  the 
size  of  the  city.  In  all  cases  it  should  be  made  large  enough  to  secure 
the  services  of  a  competent  and  high-grade  man. 

^  Or,  in  commission  cities  "all  members  of  executive  boards,"  e.  g., 
the  school  board. 

This  exception  of  heads  of  principal  executive  departments  is 
universal  at  present;  but  it  is  suggested  there  should  be  a  clear  dis- 
tinction between  "supervisors"  of  a  department,  and  expert  heads 
entrusted  with  detailed  administration.  The  supervisors  may  well 
be  political,  either  eJ;ected,  as  under  the  commission  form  of  gov- 
ernment, or,  under  other  forms,  appointed  \rj  the  mayor  as  his  cabinet 

228 


APPENDIX  2 

(c)  One  deputy  and  one  secretary  to  each  princi- 

pal executive  officer. 

(d)  Superintendents,  principals,  and  teachers  in 

the  school  system  of  the  city.^ 

(e)  All  judges  and  one  secretary  to  each." 

The  classified  service  shall  include  all  other  positions 
now  existing  or  hereafter  created. 

Sec.  4,  The  commission  shall  prescribe,  amend,  and 
enforce  rules  for  the  classified  service,  which  shall  have 
the  force  and  effect  of  law,  shall  keep  minutes  of  its  pro- 
ceedings and  records  of  its  examinations,  and  shall  make 
investigations  concerning  the  enforcement  and  effect  of 
this  chapter  and  of  the  rules.  It  shall  make  an  annual 
report  to  mayor.^ 

The  rules  shall  provide: 

(i)  For  the  classification  of  all  positions  in  the 
classified  service. 

(2)  For  open,  competitive  examinations  to  test 

the  relative  fitness  of  applicants  for  such 
positions. 

(3)  For  public  advertisement  of  all  examinations 

at  least  ten  days  in  advance  in  at  least  one 

newspaper  of  general  circulation  and  by 

posting  a  notice  in  the  city  hall. 

officers  or  committees  to  help  him  determine  policies  and  supervise  the 
departments.  The  expert  heads  should  be  permanent,  under  civil 
service  rules,  entrusted  with  and  held  responsible  for  the  drawing, 
assignment  and  execution  of  contracts  and  the  discipline  of  employees 
under  them,  so  as  to  take  contracts  and  places  wholly  out  of  politics. 
The  selection  of  these  heads  should  be  either  by  promotion,  or  by 
open  competition  on  a  basis  of  inquiry  into  education,  training  and 
actual  experience,  conducted  with  the  aid  of  independent  experts 
selected  by  and  acting  under  a  civil  service  commission.  (See  re- 
ports of  Special  Committee  on  the  Application  of  the  Merit  System 
to  the  Higher  Municipal  Officers,  published  by  the  National  Civil 
Service  Reform  League.) 

^  Only  where  the  school  system  is  under  the  jurisdiction  of  a 
school  board  distinct  from  the  city  government. 

■^  It  is  customary,  but  not  necessary,  to  include  also  in  the  unclassi- 
fied service  employees  of  the  legislative  branch.  Certainly  this  should 
not  be  done  in  commission-governed  cities. 

8  Or  "council." 

229 


PUBLIC  PERSONNEL  ADMINISTRATION 

(4)  For  the  creation  of  eligible  lists  upon  which 

shall  be  entered  the  names  of  successful 
candidates  in  the  order  of  their  standing 
in  examination.  Such  lists  shall  remain 
in  force  not  longer  than  two  years. 

(5)  For  the  rejection  of  candidates  or  eligibles 

who  fail  to  comply  with  the  reasonable  re- 
quirements of  the  commission  in  regard  to 
age,  residence,  sex,  physical  condition  or 
who  have  been  guilty  of  crime  or  of  infa- 
mous or  disgraceful  conduct  or  who  have 
attempted  any  deception  or  fraud  in  con- 
nection with  an  examination. 

(6)  For  the  appointment  of  the  person  ^  standing 

highest  on  the  appropriate  list  to  fill  a 
vacancy. 

(7)  For  a  period  of  probation  not  to  exceed  six 

months  before  appointment  or  promotion 
is  made  complete,  during  which  period  a 
probationer  may  be  discharged  or  reduced 
with  the  consent  of  the  commission. 

(8)  For  temporary  employment  without  examina- 

tion, with  the  consent  of  the  commission, 
in  cases  of  emergency  and  pending  appoint- 
ment from  an  eligible  list.  But  no  such 
temporary  employment  shall  continue 
longer  than  sixty  days  nor  shall  successive 
temporary  employments  be  allowed. 

(9)  For  transfer  from  one  position  to  a  similar 

position  in  the  same  class  and  grade  and 
for  reinstatement  within  one  year  of  per- 

^  Or  "of  one  of  the  three  persons."  The  state  constitution  in  New 
York  has  been  hejld  to  require  the  certification  of  more  than  one  name 
for  each  vacancy  and  in  New  York,  Massachusetts,  the  Federal  serv- 
ice and  frequently  elsewhere  the  rule  for  certifying  three  names  is  in 
force.  The  rule  for  certifying  the  highest  name  only  is  best  suited 
to  small  cities  where  candidates  are  few.  It  is,  however,  the  rule  in 
Chicago. 

230 


APPENDIX  2 

sons  who  without  fault  or  delinquency  on 
their  part  are  separated  from  the  service  or 
reduced. 

( lo)  For  promotion  based  on  competitive  exami- 
nation and  records  of  efficiency,  character, 
conduct,  and  seniority.  Lists  shall  be  cre- 
ated and  promotions  made  therefrom  in 
the  same  manner  as  prescribed  for  original 
appointment.  An  advancement  in  rank  or 
an  increase  in  salary  beyond  the  limit  fixed 
for  the  grade  by  the  rules  shall  constitute 
promotion.  Whenever  practicable  vacan- 
cies shall  be  filled  by  promotion. 

(ii)  For  suspensions  for  not  longer  than  thirty 
days  and  for  leaves  of  absence. 

(12)  For  discharge  or  reduction  in  rank  or  com- 

pensation after  appointment  or  promotion 
is  complete  only  after  the  person  to  be 
discharged  or  reduced  has  been  presented 
with  the  reasons  for  such  discharge  or  re- 
duction, specifically  stated,  and  has  been 
allowed  a  reasonable  time  to  reply  thereto 
in  writing.  The  reasons  and  the  reply 
must  be  filed  as  a  record  wdth  the  com- 
mission. 

(13)  For  the  appointment  of  unskilled  laborers  in 

the  order  of  priority  of  application  after 
such  tests  of  fitness  as  the  commission  may 
prescribe. 

(14)  For  the  adoption  and  amendment  of  rules 

only  after  public  notice  and  hearing.  The 
commission  shall  adopt  such  other  rules, 
not  inconsistent  with  the  foregoing  pro- 
visions of  this  section,  as  may  be  necessary 
and  proper  for  the  enforcement  of  this 
chapter. 

231  J 


PUBLIC  PERSONNEL  ADMINISTRATION 

Sec.  5.  In  case  of  a  vacancy  in  a  position  requiring 
peculiar  and  exceptional  qualifications  of  a  scientific, 
professional,  or  expert  character,  upon  satisfactory  evi- 
dence that  competition  is  impracticable  and  that  the 
position  can  best  be  filled  by  the  selection  of  some  desig- 
nated person  of  recognized  attainments,  the  commission 
may,  after  public  hearing  and  by  the  afhrmative  vote  of 
all  three  commissioners,  suspend  competition,  but  no 
such  suspension  shall  be  general  in  its  application  to 
such  position  and  all  such  cases  of  suspension  shall  be 
reported,  together  with  the  reason  therefor,  in  the  an- 
nual reports  of  the  commission. 


Sec.  6.  All  examinations  shall  be  impartial  and 
shall  deal  with  the  duties  and  requirements  of  the 
position  to  be  filled.  When  oral  tests  are  used  a  com- 
plete record  of  questions  and  answers  shall  be  made. 
Examinations  shall  be  in  charge  of  the  chief  examiner 
except  when  members  of  the  commission  act  as  exam- 
iners. The  commission  may  call  on  other  persons  to 
draw  up,  conduct,  or  mark  examinations  and  when  such 
persons  are  connected  with  the  city  service  it  shall  be 
deemed  a  part  of  their  ofhcial  duty  to  act  as  examiners 
without  extra  compensation. 

Sec.  7.  All  persons  in  the  city  service  holding  posi- 
tions in  the  classified  service  as  established  by  this  chap- 
ter at  the  time  it  takes  effect  shall  retain  their  positions 
until  discharged,  reduced,  promoted,  or  transferred  in 
accordance  therewith.  The  commission  shall  maintain 
a  civil  list  of  all  persons  in  the  city  service  showing  in 
connection  with  each  name  the  position  held,  the  date 
and  character  of  every  appointment  and  of  every  sub- 
sequent change  in  status.  Each  appointing  officer  shall 
promptly  transmit  to  the  commission  all  information  re- 

232 


APPENDIX   2 

quired  for  the  establishment  and  maintenance  of  said 
civil  list. 

Sec.  8.  No  treasurer  or  other  public  disbursing 
officer  shall  pay  any  salary  or  compensation  for  service 
to  any  person  holding  a  position  in  the  classified  service 
unless  the  payroll  or  account  for  such  salary  or  com- 
pensation shall  bear  the  certificate  of  the  commission 
that  the  persons  named  therein  have  been  appointed  or 
employed  and  are  performing  service  in  accordance  with 
the  provisions  of  this  chapter  and  of  the  rules  estab- 
lished thereunder.  Any  taxpayer  of  the  city  may 
maintain  an  action  in  any  civil  court  of  record  to  recover 
for  the  city  treasury  any  sums  paid  contrary  to  the 
provisions  of  this  section  from  the  person  or  persons 
authorizing  such  payment  or  to  enjoin  the  commission 
from  attaching  its  certificate  to  a  payroll  or  account  for 
services  rendered  in  violation  of  the  provisions  of  this 
chapter  or  of  the  rules  established  thereunder. 

Sec.  9.  In  any  investigation  conducted  by  the  com- 
mission it  shall  have  the  power  to  subpcena  and  require 
the  attendance  of  witnesses  and  the  production  thereby 
of  books  and  papers  pertinent  to  the  investigation  and 
to  administer  oaths  to  such  witnesses. 

Sec.  10.  No  person  in  the  classified  service,  or  seek- 
ing admission  thereto,  shall  be  appointed,  reduced  or 
removed  or  in  any  way  favored  or  discriminated  against 
because  of  his  political  opinions  or  affiliations! 

Sec.  II.  No  officer  or  employee  of  the  city  shall, 
directly  or  indirectly,  solicit  or  receive,  or  be  in  any 
manner  concerned  in  soliciting  or  receiving  any  assess- 
ment, subscription  or  contribution  for  any  political  party 
or  political  purpose  whatever.  No  person  shall,  orally 
or  by  letter,  solicit,  or  be  in  any  manner  concerned  in 
soliciting,  any  assessment,  subscription  or  contribution 

233 


PUBLIC  PERSONNEL  ADMINISTRATION 

for  any  political  party  or  purpose  whatever  from  any 
person  holding  a  position  in  the  classified  service. 

Sec.  12.  No  person  holding  a  position  in  the  classi- 
fied service  shall  take  any  part  in  political  management 
or  afifairs  or  in  political  campaigns  further  than  to  cast 
his  vote  and  to  express  privately  his  opinions. 

Sec.  13.  Any  person  willfully  violating  any  of  the 
provisions  of  this  chapter,  or  of  the  rules  established 
thereunder  shall  be  guilty  of  a  misdemeanor 


10 


^^  In  case  the  general  penal  laws  of  the  state  do  not  provide  a  pen- 
alty for  general  misdemeanors  for  yvhich  no  special  penalty  is  pro- 
vided, a  specific  penalty  should  be  provided  in  this  section. 


APPENDIX  3 

BIBLIOGRAPHIC  NOTE 

Introduction.  The  following  note  makes  no  pretense 
of  presenting  an  exhaustive  bibliography  of  material  re- 
lating to  problems  of  personnel.  It  has  for  its  purpose 
merely  to  point  out,  under  appropriate  headings,  the 
more  important  publications  bearing  upon  the  subject  of 
personnel  administration  to  which  the  general  student 
may  refer  in  seeking  information  on  the  subject. 
Bibliographies.  Much  the  most  comprehensive  bibli- 
ography of  works  dealing  with  public  personnel  matters 
is  that  published  by  the  Women's  Auxiliary  to  the  Civil 
Service  Reform  Association  at  New  York,  under  the 
title  Bibliography  of  Civil  Set-vice  Reform  and  Related 
Subjects.     The  third  edition  of  this  work  appeared  in 

Another  bibliography  of  value  is  that  contained  in 
the  Twenty-first  Report  of  the  United  States  Civil 
Service  Commission,  1905,  the  title  of  which  is  List  of 
References  on  the  Civil  Service.  This  list  was  pre- 
pared at  the  request  of  the  Commission  by  A.  P.  C. 
Grifiin,  Chief  Bibliographer  of  the  Congressional 
Library.  The  statement  is  made  that  this  list  is  "a 
continuation  and,  in  some  measure,  a  revision  of  the  list 
previously  prepared  by  the  Civil  Service  Commission." 

For  special  bibliographies  relative  to  civil  service  re- 
tirement and  teachers'  pension  systems,  see  bibli- 
ographies contained  in  Principles  Governing  the  Retire- 
ment of  Public  Employees,  by  Lewis  Meriam,  and 
Teachers'  Pension  Systems  in  the  United  States,  by 
Paul  Studensky,  both  of  which  represent  volumes  pre- 

235 


PUBLIC  PERSONNEL  ADMINISTRATION 

pared  by  the  Institute  for  Government  Research  and 
pubhshed  on  its  behalf  by  D.  Appleton  &  Co.,  the  former 
in  191 8  and  the  latter  in  1920. 

British  Conditions.  The  information  regarding  civil 
service  conditions  in  Great  Britain  and  the  movement 
for  civil  service  reform  in  that  comitry  is  of  value  since 
the  experience  of  England  has  been  largely  drawn  upon 
in  promoting  the  cause  of  civil  service  reform  in  this 
country.  The  official  British  "Blue  Books"  contain  a 
wealth  of  material  on  the  subject. 

Special  mention  should  be  made  of  the  Reports  of 
the  Royal  Commission  Appointed  to  Inquire  into  the 
Civil  Establishment  (1887-90),  and  the  Reports  of  the 
Royal  Commission  on  the  Civil  Service  (1912-1915). 

For  an  excellent  account  of  the  movement  for  civil 
service  reform  in  England,  see  Dorman  B.  Eaton's  well 
known  work.  Civil  Service  in  Great  Britain:  A  History 
of  Abuses  and  Reforms  and  Their  Bearing  upon 
American  Politics.  The  author,  while  Chairman  of  the 
United  States  Civil  Service  Commission  under  Presi- 
dent Hayes,  spent  a  year  in  London,  at  his  own  expense, 
studying  the  civil  service  question  of  England.  The  re- 
sults of  his  studies  were  transmitted  to  Congress  in  the 
form  of  a  report  that  was  published  as  a  House  Docu- 
ment in  1879.  This  report  was  later  republished  by 
Harper  and  Bros,  both  in  book  form  and  as  an  issue  in 
their  ''Franklin  Square  Library." 

A  more  recent  work  dealing  with  British  conditions 
is  The  Civil  Service  of  Great  Britain,  by  Robert  Moses, 
one  of  the  Columbia  studies  in  History,  Economics,  and 
Public  Law,  published  in  19 14.  In  this  work  emphasis 
is  placed  on  the  success  of  the  system  of  competitive 
examination  and  the  parallel  with  the  United  States. 

A  work  of  great  value  dealing  with  a  special  phase 
of  the  personnel  problem  is  A.  Lawrence  Lowell's 
Colonial  Civil  Service  (1900),  which  describes  and  dis- 

236 


APPENDIX  3 

cusses  the  system  of  selecting  and  training  "Colonial 
officials  in  England,  Holland,  and  France." 

Recently  a  number  of  valuable  reports  have  been 
prepared  by  certain  of  the  British  dominions  dealing 
with  their  personnel  systems.  Especially  noteworthy 
are:  The  Classification  of  tJie  Civil  Service  in  Canada, 
prepared  under  the  direction  of  the  Civil  Service  Com- 
mission of  Canada  by  authority  of  the  Parliament  of 
Canada  (1919),  and  TJie  Report  of  the  Royal  Commis- 
sion on  Public  Service  Adniinistration,  Commonwealth 
of  Australia  ( 1920) 

The  special  reports  of  the  Civil  Service  Commissions 
of  the  British  Dominions  and  Colonies  also  contain 
much  information  of  value  to  American  students. 
Civil  Service  Reform  Movement  in  the  United  States. 
There  is  a  wealth  of  material  bearing  upon  the  move- 
ment for  civil  service  reform  in  the  United  States. 
This  material  is  contained  in  the  annual  reports  of  the 
civil  service  commissions,  national,  state,  and  munic- 
ipal, the  proceedings  and  other  publications  of  civil 
service  reform  associations,  periodicals  dealing  with 
public  affairs,  and  privately  published  works.  The 
Bibliography  of  Civil  Service  Reform  and  Related  Sub- 
jects, published  by  the  Women's  Auxiliary  to  the  Civil 
Service  Reform  Association  at  New  York,  lists  most  of 
this  material  that  is  of  value.  Here  reference  will  be 
made  only  to  certain  outstanding  publications. 

Of  especial  importance  are  the  annual  reports  of  the 
United  States  Civil  Service  Commission,  the  Thirty- 
seventh  of  which  was  published  in  1920.  The  earlier 
reports  were  longer  than  later  issues,  were  of  a  less 
formal  character,  and  contained  more  information  of  a 
general  character  relative  to  the  progress  of  civil  service 
reform  in  the  United  States.  The  Twenty-first  Report, 
published  in  1905,  gives  in  chronological  order  refer- 
ences to  United  States  Congressional  Documents  and, 

237 


PUBLIC  PERSONNEL  ADMINISTRATION 

in  a  separate  list,  the  reports  bearing  on  the  sub- 
ject issued  by  the  executive  services  of  the  United 
States. 

Special  mention  may  also  be  made  of  the  reports 
of  the  civil  service  commissions  of  the  states  of 
Illinois,  Massachusetts,  New  York  and  Wisconsin,  and 
those  of  the  cities  of  Chicago,  New  York,  and  Los 
Angeles. 

Among  non-official  publications,  the  most  important 
are  those  issued  by  the  National  Civil  Service  Reform 
League.  The  Bibliography  of  Civil  Service  Reform 
and  Related  Subjects,  to  which  reference  has  been  made, 
contains  a  section  setting  forth  in  detail  the  Publica- 
tions of  Civil  Service  Reform,  Associations  and  Other 
Organizations,  and  gives  the  contents  of  each  of  the 
annual  reports  of  proceedings  of  the  National  Civil 
Service  Reform  League  and  the  affiliated  local  bodies. 
The  National  Civil  Service  Reform  League  publishes  a 
monthly  entitled  Good  Government.  This  periodical 
was  first  issued  in  1892  and  represents  a  consolidation 
of  the  Civil  Service  Record,  published  by  the  Civil  Ser- 
vice Reform  Association  of  Baltimore  and  Cambridge 
from  1 88 1  to  1892  and  the  Civil  Service  Reformer,  pub- 
lished in  Baltimore  from  1881  to  1892. 

Among  works  of  private  authorship,  especial  men- 
tion should  be  made  of  The  Federal  Service:  A  Study  of 
the  System  of  Personnel  Administration  by  the  United 
States  Government,  by  Lewis  Mayers,  Studies  in 
Administration,  Institute  for  Government  Research, 
192 1 ;  Orations  and  Addresses,  by  George  William 
Curtis,  published  in  two  volumes  in  1894,  the  second 
volume  of  which  contains  addresses  on  civil  service  re- 
form matters;  Fighting  the  Spoilsman,  by  William 
Dudley  Foulke,  published  in  1919;  and  The  Civil  Service 
and  the  Patronage,  by  Carl  Russell  Fish,  published  in 
1905. 

238 


APPENDIX  3 

Classification  and  Standardization  of  Civil  Service  Em- 
ployees. All  of  the  earlier  literature  relative  to  civil 
service  matters  concerns  itself  almost  wholly  with  the 
problem  of  the  abolition  of  the  spoils  system  through  the 
introduction  of  the  merit  system  in  selecting  employees, 
and  the  prohibition  of  improper  political  activities  on  the 
part  of  public  officers  and  employees.  Only  within 
recent  years  have  studies  been  made  regarding  the  other 
phases  of  the  personnel  problem.  Of  these  studies,  the 
most  important  are  those  having  for  their  purpose  to 
establish  a  standard  classification  of  employees  as  a  basis 
upon  which  to  determine  compensation  and  to  handle 
other  problems  of  personnel  administration.  Within 
the  past  few  years  a  number  of  exceedingly  important 
official  reports  have  been  published  regarding  this  mat- 
ter. Among  these  the  most  important  are:  Report  of 
the  Congressional  Joint  Conimission  on  Reclassification 
of  Salaries,  submitted  to  Congress  on  March  12,  1920; 
Report  of  the  Senate  Coniniittee  on  Civil  Service  of  the 
Government  of  the  State  of  New  York,  1916;  Report 
on  the  Reclassification  of  Salary  Grades  and  Rates  of 
New  York  City,  published  by  the  New  York  Bureau  of 
Standards,  19 16;  and  Classification  of  the  Civil  Service 
of  Canada,  made  under  the  direction  of  the  Civil  Service 
Commission  of  Canada,  1919,  to  which  reference  has 
already  been  made. 

On  this  subject,  see  also  various  articles  appearing 
in  the  periodical.  Municipal  Research,  published  by  the 
New  York  Bureau  of  Municipal  Research,  and  the 
article  "Employment  Standardization  in  the  Public 
Service,"  by  William  C.  Beyer,  in  the  National  Munic- 
ipal Review,  volume  ix,  June,  1920,  which  reviews  the 
progress  in  this  field  up  to  approximately  the  date  of  its 
publication,  though  it  does  not  include  a  discussion  of 
the  federal  report. 
Special  Studies.     During  the  war  the  federal  govern- 

239 


PUBLIC  PERSONNEL  ADMINISTRATION 

ment  found  itself  confronted  with  many  problems  of 
employment  management.  The  results  of  its  studies 
having  in  view  the  solution  of  these  problems  have  been 
in  part  published.  The  most  important  of  these  publi- 
cations are:  Handbook  on  Employment  Methods,  1919, 
Training  Ship-yard  Workers,  19 19,  and  Organising  the 
Employment  Department  1918,  issued  by  the  United 
States  Shipping  Board  Emergency  Fleet  Corporation; 
and  The  Personnel  System  of  the  United  States  Army, 
19 19,  issued  by  the  War  Department. 


INDEX 


Advancement  in  the  Civil  Service, 
177-178;  administration  of,  178- 
179;  Congressional  Joint  Commis- 
sion on,  177;  distinguished  from 
promotion,  177-178;  New  York 
State  report  on,  1916,  177;  provi- 
sion for,  178-179.  See  also  Pro- 
motion in  the  Civil  Service. 

Army,  Committee  on  Classification 
of  Personnel,  122;  trade  tests  of, 
125-126;  written  tests  of,  122-123. 

Bibliography,  235-240. 

Bureau  of  Standards  of  New  York 

City,    standard    specifications    for 

personnel  service,  55n. 

Chicago  Municipal  Efficiency  Com- 
mission and  standardization,  41- 
42. 

Civil  Servants,  Mayers,  Lewis,  on, 
176;  status  of,  176. 

Civil  Service  Act  of  1883  (U.  S.), 
purpose  of,  5-7;  Act  of  New  Jer- 
sey, 147.  _ 

Civil  Service  Commission,  appoint- 
ment, 27-29;  classification  of,  195- 
200;  compensation,  20;  composi- 
tion, 27-29;  establishment  in  vari- 
ous states,  5-6;  executive  func- 
tions, 36-38;  extension  of  func- 
tions, 22-25;  legal  status,  27;  of 
Illinois,  33 ;  organization  of,  38- 
40;  qualifications  of  commission- 
ers, 28-29;  quasi-judicial  func- 
tions, 34-36;  quasi-legislative 
functions,  31-34;  tenure,  28-30; 
Wisconsin  commission  biennial 
circular,  148. 

Civil  Service  examinations.  See 
Examinations. 

Civil  Service  legislation,  draft  of  a 
standard  law  for  states  and  cities, 
28,  201-235. 

Classification  of  public  personnel, 
23,  90-105;  basic  features  of,  41- 
46,  72 ;  by  the  Committee  on  Clas- 
sification of  Personnel  in  the 
Army,  122-123,  125-126;  classifi- 
cation    chart,     99-100;     Congres- 


sional Joint  Commission  activities, 
100-105;  formulation  of,  90-105; 
positions  classified,  23,  32-34,  49- 
50 ;  primary  work  elements,  94- 
99;  principle  of,  50-51;  Wiscon- 
sin method,  94-99. 

Compensation  establishment  of  ade- 
quate  and  uniform,    17-18. 

Congressional  Joint  Commission, 
advancement  concerning,  179;  ad- 
vancement and  promotion  distin- 
guished by,  177;  analysis  of  the 
national  civil  service  by,  48,  50- 
52 ;  classification  questionnaire, 
80-83;  clerical  classification  100- 
105 ;  compensation  principles 
recommended,  56-58;  methods  of 
standardization  inquiry,  66n ;  pro- 
cedure, 85n ;  promotion,  concern- 
ing, 188;  quoted,  9,  10,  12;  re- 
port of,  177;  salaries,  reporton 
reclassification  of,  9;  standardiza- 
tion, report  on,  44-46,  59.  i57n; 
sympathy  of  employees  with,  69. 

Efficiency  ratings,  162-172;  best  sys- 
tem of,  166 ;  Chicago  Civil  Service 
Commission,  167;  conditions  re- 
quired for,  167;  control  of,  168; 
effect  of,  171-172;  how  often  to 
be  made,  170;  inspection  by  em- 
ployees, 170-171 ;  intervals  be- 
tween, 170;  need  of,  162;  New 
York  City  system  of,  164-171 ; 
organization  for,  168-169;  Port- 
land system  of,  167-168;  prep- 
aration of,  169-T70;  rating  sys- 
tem of,  167;  reasons  for,  162; 
supervision  of,  168;  systems  of, 
164-168;  use  of,  171-172. 

Employees'  representation,  189-194; 
administrative  channels  and,  193 ; 
Congressmen  and,  192-193;  ef- 
fect of,  193;  influence  on  admin- 
istrative channels,  193 ;  influence 
on  Congress,  193 ;  movement  for, 
191 ;  National  Federation  of  Fed- 
eral Employees  Union,  191-192; 
selection  of,  111-150;  training  for, 
24;  transfer  of,  21. 


241 


INDEX 


Employment,  early  conditions,  2; 
history,  1-8;  number  of  employees 
in  government  service,  i,  2,  4,  7- 
8;_recent  conditions,  4;  relation  to 
private  enterprise,  i ;  spoils  sys- 
tem, 2. 

Examinations  for  the  civil   service, 
111-148;    advertising  of,    146-148; 
in  New  Jersey,    147;   in  Wiscon- 
sin,   148;   appointment  after,    126, 
148-150;    army    trade    tests,    126- 
127;    by    Committee    on    Classi- 
fication    of      Personnel     in     the 
Army,  122-123,   125-126;  certifica- 
tion   after,    148-150;    competitive, 
112-113;  correlation  in,  124;  edu- 
cation    ratings,     139;     examining 
agency,  113-115;  exemption  from, 
33;   experience,   defined,   135;   ex- 
perience   in    related    occupations, 
137 ;  ,    experience     in     vocational 
training    or    education;     137-138; 
experience    rating,     135-139;     ex- 
perience rating  methods,  138-139; 
experience  rating  scale,   136;   ex- 
perience standard,  136;  factors  of, 
115-121;    intelligence    tests,     130- 
133;    methods,    116-121;    methods 
of  appointment  after,  150;  meth- 
ods   of    preparing,    124;    Minne- 
apolis  Civil   Service  Commission, 
143 ;    moral    characteristics,    146 ; 
Moulton,  William  B.,  on  exemp- 
tion from,  33 ;  National  Assembly 
of  Civil  Service  Commission,  1919, 
I43n ;  National  Assembly  of  Civil 
Service  Commissions  report,  1919, 
114;    non-competitive,    113;    New 
York_  Civil    Service   Commission, 
examinations,  140-141 ;  oral  exam- 
inations     141-146;      performance 
tests,      133-135 ;      personal     attri- 
butes, 144;  personal  examinations, 
141-146;     practical    examinations, 
133-135;      physical      examination, 
139-141;    in    New    York,    140;    in 
police  and  fire  departments,   140; 
Saxton,  H.  N.,  on,  127-129,  I43n; 
trade  tests,  127-129;  Watson,  Max, 
on   trade   tests,    127-129;   weights 
to      various       factors,       116-121; 
Wheeler,        Forest,        on,        143 ; 
Wheeler,     Forest,     quoted,     143 ; 
Whitman,    J.    C,    on    intelligence 
tests,    131 ;    written   examinations, 
121-133;  purpose  of,  122-123. 


Illinois    Civil    Service    Commission, 
negative  powers  of,  33. 


Intelligence  tests,  130-133;  Link, 
Harry  C,  on,  131-133;  Whitman, 
J.  C,  on,  131. 

Lane,  Franklin  K.,  on  methods  in 
national  administration,  12,  13,  62. 

Link,  Harry  C,  on  intelligence 
tests,  131-133;  on  moral  qualities, 
146;  reference  to,  I24n,  I44n. 

Mayers,   Lewis,   on   status   of   civil 

servants,  176. 
Meriam,    Lewis,    on    retirement    of 

public    employees,    60. 
Merit  system,  5-7,  13-16,  20-22. 
Messick,  Charles  P.,  report  by,  117- 

121. 

Metropolitan  Life  Insurance  Com- 
pany,  on  promotion,   156. 

Moral  qualities  in  personnel,  Link, 
Harry  C,  on,  146. 

Moulton,  Williarn  B.,  on  exemption 
from  examinations,  33. 

National  Civil  Service  Reform  As- 
sociation, 5;  draft  of  a  standard 
law  by,  201-235;  report  of,  1919, 
114;  Saxton,  H,  N.,  I43n. 

National  Federation  of  Federal 
Employees  Union,  191-192;  con- 
stitution of,  191-192;  purpose  of, 
191-192;  scope  of,  191;  strength 
of,  191. 

New  Jersey  Civil  Service  Act,  147. 

New  York  City  Bureau  of  Stand- 
ards, 55n;  standard  specifications 
for  personnel  service,  55n. 

New  York  City  Civil  Service  Com- 
mission, 32-33;  report  of,  177. 

New  York  Senate  Committee  on 
Civil  Service,  33 ;  field  notes  of, 
84;  recommendations  for  classifi- 
cation, 49,  52-54;  report  of,  182; 
standardization  inquiry,  86-87n. 

New  York  State,  76-78,  182 ;  promo- 
tion in,  182;  questionnaire  on 
civil  service  record  of  employees, 
76-78. 

Pensions,  for  public  employees,  es- 
tablishment of,  19;  Meriam, 
Lewis,  positions  in,  19;  promo- 
tions, 184;  quoted,  60;  recom- 
mended, 59-61. 

Personnel,  classification  of  in  the 
army,  122-23,  125-126. 

Personnel  service,  specifications  by 
the  New  York  City  Bureau  of 
Standards,  S5n. 


242 


INDEX 


Promotion  in  the  Civil  Service,  173- 
188;    administration   of,    185-188 
advancement    distinguished    from 
177,    178;    and    training,    184-185 
as    a    reward,    173-175;    basis    of 
180-181,  186-188;  benefits  of,  175 
by  competitive  examination,   187- 
188 ;  competitive  examination  for, 
187-188;     condition    of,     174-175; 
Congressional    Joint    Comimission 
on,  188;  control  of,  186;  effect  of, 
173-175 ;    examinations    for,    187- 
188;  factor  in,   187;  inter-depart- 
mental,      181-183;      inter-gcvern- 
mental,    185 ;    INIayers,   Lew^is,   on, 
176;  Metropolitan  Life  Insurance 
Company    on,     156;     New^    York 
State  system  of,   182;  opportuni- 
ties   for,    20-22;     provisions     for 
180-185;     retirement     and,      184; 
requisites    of    improvement,    175- 
177;  reward  of,  173-17S;  supervi- 
sion of,    186;    training   and,    184- 
185.     See    also    Advancement    in 
the  Civil  Service,  177-178. 

Public  service,  recruiting  for,  iii- 
151. 

Ratings.     See  Efficiency  Ratings. 

Recruiting   for  the  public,    111-151. 

Representation  of  employees,  189- 
194. 

Retirement  system,  19,  21,  22;  es- 
tablishment of,  19;  Meriam, 
Lewis,  positions  in,  19;  promo- 
tions, 184;  quoted,  60;  recom- 
mended, 59-61. 

Roosevelt,  Franklin  D.,  on  duplica- 
tion of  administrative  work,  12. 

Standardization  by  the  Chicago 
iMunicipal  Efficiency  Commission, 
41-42. 

Standards,  Bureau  of  New  York 
City,  on  specifications  for  person- 
nel service,  S5n. 

Standard  law,  draft  of  a,  28. 

Spoils  system,  2-3. 

Selection  of  employees,   111-150. 

Standardization,  adoption  of,  47; 
applied  by  Civil  Service  Commis- 
sion, 47 ;  appraisal  of  employ- 
ments, 107-108;  appraisal  of  posi- 
tions out  of  grade,  no;  appraisal 
of  staff  examiners,  laS;  benefits 
of,  44-46;  budget  and,  61;  Chi- 
cago standardization  in,  41 ;  cities 
and  states  standardization  in,  42; 
classification  chart,  99-100;  com- 


pensation, 105-107 ;  compensation 
determined,  105-107;  compensa- 
tion under,  43,  54-59;  conduct  of 
standardization  inquiry,  65 ;  Con- 
gressional Joint  Commission  re- 
port, on,  44;  economy  and  effi- 
ciency of,  62;  enforcement  of 
standards.  63,  64;  history  of,  41; 
primary  work  elements,  94-99; 
principal  features  of,  48-62 ;  pro- 
visions of,  43 ;  purpose  of,  41 ; 
results  of,  46-47;  retirement  in- 
cluded, 59-61 ;  results  of,  46-47 ; 
revision  of  standards,  62-63 ; 
standardization  movement,  8 ; 
system  of,  54-55- 

Standardization  agency,  67;  coop- 
eration with  other  factors,  68- 
70;  cooperation  facilities  for,  70- 
74;  legal  status  of,  67;  publicity 
of,  67-68. 

Standardization  facilities,  70-83 ; 
appraisal  of  employments,  ap- 
praisal of  positions  out  of  grade, 
no;  Bureau  of  Municipal  Re- 
search, 7S'<  citizen  groups,  74; 
civic  agencies,  73 ;  Civil  Service 
Commission,  72;  collection  of 
data,  74;  Congressional  Joint 
Committee  on,  83 ;  departmental 
conferences,  70;  executive  depart- 
ments, 70;  New  York  City  ques- 
tionnaire on,  75-78;  other  gov- 
ernments, 74;  private  employers, 
73-74 ;  questionnaires,  75-78 ;  ques- 
tionnaire of  Congressional  Joint 
Commission,  80-83 !  questionnaire 
of  New  York  City  inquiry,  75-78; 
research  agencies,  local,  73 ;  spe- 
cialists outside  of  the  service,  105- 
107:  studies  of  organization,  85. 

Standardization  inquiry,  65-110;  ap- 
praisal of  employments,  107-108; 
appraisal  of  positions  out  of 
grade,  no;  civil  service  examina- 
tions, 89-90;  classification,  formu- 
lation of,  90-105;  clerical  classi- 
fication, 100-105 ;  conditions  gov- 
erning promotion ;  Congressional 
Joint  Commission,  100-105;  ex- 
aminations for  promotion,  80; 
facilities  for  inquiry,  70-74;  field 
notes,  84;  methods  of  inquiry,  65- 
iio;  staff  examiners'  work,  83-85, 
io8-no;  standards  of  examina- 
tions, 90;  specialists  outside  of  the 
civil  service  to  participate  in,  105- 
107 ;  special  staff  assistants,  67 ; 
special    staff    for,    65-66;    special 


243 


INDEX 


staffs  in  various  cities,  66;  special 
staff's  methods,  66n, 

Tenure  of  Office  Act,  2. 

Trade  tests  of  Committee  on  Classi- 
fication of  Personnel  in  the  Army, 
125-126;  in  examinations,  127- 
129;   Watson,  Max,  on,   127-129. 

Training  for  the  Public  Service, 
apprenticeship  idea,  158;  Bureau 
of  Efficiency  proposals  for  school, 
158-159;  Bureau  of  Internal  Rev- 
enue, 157;  Bureau  of  Municipal 
Research  of  New  York,  153; 
Bureau  of  Printing  and  Engrav- 
ing, 157;  Bureau  of  Standards, 
157;  Central  training  school,  159- 
160;  colleges  and  university 
courses  for,  151-161 ;  College  of 
the  City  New  York,  157-158; 
Columbia  University,  152;  educa- 
tional facilities  for,  151-153; 
Harvard  Medical  School,  152 ; 
Interstate  Commerce  Commission, 
157;  Massachusetts  Institute  of 
Technology,  152;  Metropolitan 
Life  Insurance  Company,  156; 
Michigan,  University  of,  153; 
Minnesota,  University  of,  153; 
National  Institute  of  Public  Ad- 


ministration, 153;  New  York 
Board  of  Education,  157;  New 
York  Training  School  for  pub- 
lic service,  153;  Pratt  Institute, 
152;  retirement  and  training,  184- 
185 ;  school  for  national  em- 
ployees proposed,  158;  special 
training,  154-15S ;  training  school 
for  public  service  of  New  York, 
153;  Virginia,  University  of,  153; 
Washington  Navy  Yard,  157; 
Washington  service  158;  Wash- 
ington training  school  proposed 
in,  158-160;  Wisconsin,  progress 
in,    I57n;    Wisconsin,    University 

of,  153. 
Transfer  of  employees,  21. 
Turnover,  10. 

Watson,  Max,  on  rules  for  prepar- 
ing trade  test  questions,  127-128; 
example  of  trade  test,   128-129. 

Wheeler  Forest,  on  the  conduct  of 
oral  examinations,  143. 

Whitman,  J.  C,  on  intelligence 
tests,  131. 

Wisconsin  Civil  Service  Commis- 
sion biennial  circular,  contents  of, 
148. 


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